{"text_format":"1","workbook":"xlsx","n_sheets":16,"sheets":["Cover Sheet","A - Verification Sheet","A - Innovation","A - Cross-border activity","A - Retail Investor Trends","A - Complaints","A - Office of the Arbiter","A - Online & Social Presence","A - Branches","A - Additional Details","B - Financial Details","B - Statement of c. income","B - Statement of f. position","B - Supervisory Fee Calculator","C - Exposure to Maltese Banks","Confirmations"],"not_rendered":{"charts":0,"images":8,"macros":1,"external_links":0,"defined_names":11,"comments":0,"pivot_tables":0},"unopened":[],"bounds":{"document_bytes":16777216,"sheet_cells":100000,"rows_first":2000,"rows_last":500,"rows_between":2000,"halvings":0,"cell_chars":16384,"cell_head_chars":4096},"cells_cut":0,"cells_raw":0,"read":"whole","date_system":"1900"}

{"sheet":"Cover Sheet","index":0,"n_rows":50,"n_cols":5,"rows_kept":50,"cut":false,"hidden":false,"merged":[[0,0,4,3],[5,0,7,3],[34,1,34,2],[33,1,33,2],[35,1,35,2],[32,1,32,2]]}
[]
[]
[]
[]
[]
["MiFID FIRMS QUARTERLY REPORTING"]
[]
[]
[]
[null,"Licence Holder information"]
[]
[null,"Name of Licence Holder",null,null,""]
[]
[null,"Licence Holder Code"]
[]
[null,"Licence Class",null,1]
[]
[null,"LEI Code"]
[]
[null,"Reporting period"]
[]
[null,"Relevant reporting quarter for the Conduct-Related Data (Section A)"]
[]
[null,"Relevant reporting period for Prudential Data (Section B) from:"]
[null,"Relevant reporting period for Prudential Data (Section B) to:"]
[null,null,null,""]
[null,"Currency in which accounts are reported"]
[null,null,null,""]
[null,"Exchange rate as at end of reporting period converting the reporting currency to EURO"]
[]
[null,"Accounting Framework"]
[]
[null,"Important !"]
[null,"Kindly note that \n- Part A is related to Conduct-Related Data with relevant reporting period on a quarterly basis;\n- Part B is related to Prudential Supervision Data with relevant reporting period on a cumulative basis;\n- Part C is related to Exposure to Maltese Banks with relevant reporting period on a quarterly basis.\n\nKindly ensure to compile the latest version of the Return, available on the MFSA website. "]
[null,"A Guidelines document to consult prior to compile this Return is available on the MFSA website via "]
[null,"https://www.mfsa.mt/our-work/securities-and-markets-supervision"]
[]
[null,null,"Version 12"]
[null,null,"Rev 2"]
[]
[]
[]
[null,"EUR","Class 1 minus"]
[null,"GBP","Class 2"]
[null,"USD","Class 3"]
[]
[null,"Q1"]
[null,"Q2"]
[null,"Q3"]
[null,"Q4"]

{"sheet":"A - Verification Sheet","index":1,"n_rows":141,"n_cols":16,"rows_kept":141,"cut":false,"hidden":false,"merged":[[0,0,0,9],[72,4,89,4],[14,6,14,8],[30,10,30,15],[6,6,6,8],[8,6,8,8],[10,6,10,8],[12,6,12,8],[16,6,16,8],[18,6,18,8],[20,6,20,8],[22,6,22,8]]}
["Validation Sheet"]
[]
["Overall",null,{"$f":"IF(E125=0,\"OK\", E125&\" Errors\")","v":"11 Errors"},null,{"$f":"IF(C3=\"Ok\", \"No errors, please proceed\", \"Please review the indicated tabs before proceeding\")","v":"Please review the indicated tabs before proceeding"}]
[]
["Tab ",null,"Validation",null,"Error",null,"Description of the error"]
[]
["Cover Sheet",null,{"$f":"IF(E36>0, E36&\" Error(s)\", \"OK\")","v":"4 Error(s)"},null,{"$f":"IF(C7=\"Ok\", \"No error, please proceed\", \"Please review the tab once again\")","v":"Please review the tab once again"},null,{"$f":"IF(E36 > 0,(_xlfn.TEXTJOIN(\"; \",TRUE,G33:G36)&\".\"), \"\")","v":"Ensure that the field 'Licence holder name' is filled in; Ensure that the field 'Licence holder code' is filled in; Ensure that the field 'LEI code' is filled in; Ensure that the relevant quarter for Part A is indicated."}]
[]
["A - Innovation",null,{"$f":"IF(E47>0, E47&\" Error(s)\", \"OK\")","v":"1 Error(s)"},null,{"$f":"IF(C9=\"Ok\", \"No error, please proceed\", \"Please review the tab once again\")","v":"Please review the tab once again"},null,{"$f":"IF(E47 > 0, (_xlfn.TEXTJOIN(\"; \",TRUE,G38:G47)&\".\"), \"\")","v":"Ensure that Question 1 is filled in correctly."}]
[]
["A - Cross-border activity",null,{"$f":"IF(E54>0, E54&\" Error(s)\", \"OK\")","v":"OK"},null,{"$f":"IF(C11=\"Ok\", \"No error, please proceed\", \"Please review the tab once again\")","v":"No error, please proceed"},null,{"$f":"IF(E54 > 0, (_xlfn.TEXTJOIN(\"; \",TRUE,G49:G54)&\".\"), \"\")","v":""}]
[]
["A - Retail Investor Trends",null,{"$f":"IF(E96>0, E96&\" Error(s)\",\"OK\")","v":"1 Error(s)"},null,{"$f":"IF(C13=\"Ok\", \"No error, please proceed\", \"Please review the tab once again\")","v":"Please review the tab once again"},null,{"$f":"IF(E96 > 0, (_xlfn.TEXTJOIN(\"; \",TRUE,G56:G96)&\".\"), \"\")","v":"Ensure that Question 1 is filled in."}]
[]
["A - Complaints",null,{"$f":"IF(E104>0, E104&\" Error(s)\", \"OK\")","v":"OK"},null,{"$f":"IF(C15=\"Ok\", \"No error, please proceed\", \"Please review the tab once again\")","v":"No error, please proceed"},null,{"$f":"IF(E104>0, (_xlfn.TEXTJOIN(\"; \",TRUE,G98:G104)&\".\"), \"\")","v":""}]
[]
["A - Office of the Arbiter",null,{"$f":"IF(E106>0, \"Error\", \"OK\")","v":"OK"},null,{"$f":"IF(C17=\"Ok\", \"No error, please proceed\", \"Please review the tab once again\")","v":"No error, please proceed"},null,{"$f":"IF(E106 > 0, (_xlfn.TEXTJOIN(\"; \",TRUE,G106)&\".\"), \"\")","v":""}]
[]
["A - Online & Social media presence",null,{"$f":"IF(E109>0, E109&\" Error(s)\", \"OK\")","v":"2 Error(s)"},null,{"$f":"IF(C19=\"Ok\", \"No error, please proceed\", \"Please review the tab once again\")","v":"Please review the tab once again"},null,{"$f":"IF(E109 > 0, (_xlfn.TEXTJOIN(\"; \",TRUE,G108:G109)&\".\"), \"\")","v":"Ensure that Question 1 has at least one entry, either a link or \"N/A\"; Ensure that Question 2 has at least one entry, either a link or \"N/A\"."}]
[]
["A - Branches ",null,{"$f":"IF(E116>0, E116&\" Error(s)\", \"OK\")","v":"1 Error(s)"},null,{"$f":"IF(C21=\"Ok\", \"No error, please proceed\", \"Please review the tab once again\")","v":"Please review the tab once again"},null,{"$f":"IF(E116>0,(_xlfn.TEXTJOIN(\"; \",TRUE,G111:G116)&\".\"), \"\")","v":"Ensure that Question 1 is filled in."}]
[]
["A - Additional details ",null,{"$f":"IF(E123>0, E123&\" Error(s)\", \"OK\")","v":"2 Error(s)"},null,{"$f":"IF(C23=\"Ok\", \"No error, please proceed\", \"Please review the tab once again\")","v":"Please review the tab once again"},null,{"$f":"IF(E123>0, (_xlfn.TEXTJOIN(\"; \",TRUE,G118:G123)&\".\"), \"\")","v":"Ensure that Question 2 is filled in; Ensure that Question 3 is filled in."}]
[]
[]
[]
[]
[]
[]
[]
["NAME OF THE SHEET","VALIDATION NO.",null,"VALIDATION FORMULA",null,null,"Error Code\n(Instructions to LH)","Error description\n(Internal Use)","Method for detecting error\n(Always Comment Code)",null,"Spill Cell Working"]
[]
["Cover Sheet",1,null,{"$f":"ISBLANK('Cover Sheet'!C12)","v":true},null,null,{"$f":"IF(D33, \"Ensure that the field 'Licence holder name' is filled in\", \"\")","v":"Ensure that the field 'Licence holder name' is filled in"},"LH name not filled in","Check if entry cell C12 is empty"]
[null,2,null,{"$f":"ISBLANK('Cover Sheet'!C14)","v":true},null,null,{"$f":"IF(D34, \"Ensure that the field 'Licence holder code' is filled in\", \"\")","v":"Ensure that the field 'Licence holder code' is filled in"},"LH code not filled in","Check if entry cell C14 is empty"]
[null,3,null,{"$f":"ISBLANK('Cover Sheet'!C18)","v":true},null,null,{"$f":"IF(D35, \"Ensure that the field 'LEI code' is filled in\", \"\")","v":"Ensure that the field 'LEI code' is filled in"},"LEI code not filled in","Check if entry cell C18 is empty"]
[null,4,null,{"$f":"ISBLANK('Cover Sheet'!C22)","v":true},{"$f":"COUNTIF(D33:D36, TRUE)","v":4},null,{"$f":"IF(D36, \"Ensure that the relevant quarter for Part A is indicated\", \"\")","v":"Ensure that the relevant quarter for Part A is indicated"},"Reporting period for part A not filled in","Check if entry cell C22 is empty"]
[]
["A - Innovation",1,null,{"$f":"NOT(_xlfn.XOR(OR('A - Innovation'!O4=TRUE,'A - Innovation'!O5=TRUE),'A - Innovation'!O6=TRUE))","v":true},null,null,{"$f":"IF(D38, \"Ensure that Question 1 is filled in correctly\", \"\")","v":"Ensure that Question 1 is filled in correctly"},"Question 1 left blank or contradictory response","Compare if the \"max\" of products (O4) and services (O5) is equal to none (O6) via [XOR(OR)]"]
[null,2,null,{"$f":"IF(OR('A - Innovation'!O4,'A - Innovation'!O5),ISBLANK('A - Innovation'!A11))","v":false},null,null,{"$f":"IF(D39, \"Ensure that Question 2 if filled in when 'Product' or 'Process' is selected in Question 1\", \"\")","v":""},"Innovation reported in question 1 but no details provided in question 2","Unless no innovation was reported (O6), check if question 2 (A11) is empty"]
[null,3,null,{"$f":"IF(OR('A - Innovation'!O4,'A - Innovation'!O5),COUNTIF('A - Innovation'!O8:O15,TRUE)=0)","v":false},null,null,{"$f":"IF(D40, \"Ensure that Question 3 is filled in\", \"\")","v":""},"Innovation reported in question 1 but question 3 was not filled in","Unless no innovation was reported (O6), check if any cells for question 3 (O8 - O15) are True"]
[null,4,null,{"$f":"IF('A - Innovation'!O14, ISBLANK('A - Innovation'!A24))","v":false},null,null,{"$f":"IF(D41, \"Ensure that Question 3.1 is filled in when 'Other financial instruments' is selected in Question 3\", \"\")","v":""},"Innovation applies to an unlisted instrument but no clarification if given","If \"other  instrument\" (O14) is selected, check if question 3.1 (A24) is blank"]
[null,5,null,{"$f":"IF(OR('A - Innovation'!O4,'A - Innovation'!O5), COUNTIF('A - Innovation'!O17:O29,TRUE) = 0)","v":false},null,null,{"$f":"IF(D42, \"Ensure that Question 4 is filled in\", \"\")","v":""},"Innovation reported but question 4 left blank","Unless no innovation was reported (O6), check if any cells for question 4 (O17 - O29) are True"]
[null,6,null,{"$f":"IF('A - Innovation'!O28, ISBLANK('A - Innovation'!A40))","v":false},null,null,{"$f":"IF(D43, \"Ensure that Question 4.1 is filled in when 'Other' is selected in Q4\", \"\")","v":""},"\"Other\" selected in question 4 but question 4.1 is left blank","If \"Other\" (O28) is selected, check if entry cell A40 is empty"]
[null,7,null,{"$f":"IF(OR('A - Innovation'!O4,'A - Innovation'!O5), COUNTIF('A - Innovation'!O31:O36,TRUE) = 0)","v":false},null,null,{"$f":"IF(D44, \"Ensure that Question 5 if filled in\", \"\")","v":""},"Innovation reported but question 5 left blank","Unless no innovation was reported (O6), check if any cells for question 5 (O31 - O36) are True"]
[null,8,null,{"$f":"IF('A - Innovation'!O36, ISBLANK('A - Innovation'!A52))","v":false},null,null,{"$f":"IF(D45, \"Ensure that Question 5.1 is filled in when 'Other' is selected in Question 5\", \"\")","v":""},"\"Other\" selected in question 5 but question 5.1 is left blank","If \"Other\" (O36) is selected, check if entry cell A52 is empty"]
[null,9,null,{"$f":"IF(OR('A - Innovation'!O4,'A - Innovation'!O5), COUNTIF('A - Innovation'!O38:O44,TRUE) = 0)","v":false},null,null,{"$f":"IF(D46, \"Ensure that Question 6 is filled in\", \"\")","v":""},"Innovation reported but question 6 left blank","Unless no innovation was reported (O6), check if any cells for question 6 (O38 - O44) are True"]
[null,10,null,{"$f":"IF('A - Innovation'!O44, ISBLANK('A - Innovation'!A68))","v":false},{"$f":"COUNTIF(D38:D47, TRUE)","v":1},null,{"$f":"IF(D47, \"Ensure that Question 6.1 is filled in when 'Other' is selected in Question 6\", \"\")","v":""},"\"Other\" selected in question 6 but question 6.1 is left blank","If \"Other\" (O44) is selected, check if entry cell A68 is empty"]
[]
["A - Cross border activity",1,null,{"$f":"OR(_xlfn.ANCHORARRAY(K49))","v":false},null,null,{"$f":"IF(D49,\"Ensure that all sections for Retail clients in \"&_xlfn.ARRAYTOTEXT(_xlfn._xlws.FILTER('A - Cross-border activity'!A10:A38,_xlfn.ANCHORARRAY(K49)))&\" are filled in\",\"\")","v":""},"Clients reported but no services filled in, or no value of transactions reported, or no financial instruments reported","If column B is not zero, separately check the sum of columns C to Q, column R and column S",null,{"$f":"_xlfn.BYROW('A - Cross-border activity'!B10:S38, _xlfn.LAMBDA(_xlpm.array, IF(INDEX(_xlpm.array,1) > 0, OR(SUM(INDEX(_xlpm.array, _xlfn.SEQUENCE(15,1,2))) = 0, INDEX(_xlpm.array, 17) = 0, ISBLANK(INDEX(_xlpm.array, 18))))))","v":false}]
[null,2,null,{"$f":"OR(_xlfn.ANCHORARRAY(L50))","v":false},null,null,{"$f":"IF(D50,\"Ensure that all sections for Professional clients in \"&_xlfn.ARRAYTOTEXT(_xlfn._xlws.FILTER('A - Cross-border activity'!A45:A73,_xlfn.ANCHORARRAY(L50)))&\" are filled in\",\"\")","v":""},"Clients reported but no services filled in, or no value of transactions reported, or no financial instruments reported","If column B is not zero, separately check the sum of columns C to Q, column R and column S",null,false,{"$f":"_xlfn.BYROW('A - Cross-border activity'!B45:S73, _xlfn.LAMBDA(_xlpm.array, IF(INDEX(_xlpm.array,1) > 0, OR(SUM(INDEX(_xlpm.array, _xlfn.SEQUENCE(15,1,2))) = 0, INDEX(_xlpm.array, 17) = 0, ISBLANK(INDEX(_xlpm.array, 18))))))","v":false}]
[null,3,null,{"$f":"OR(_xlfn.ANCHORARRAY(M51))","v":false},null,null,{"$f":"IF(D51,\"Ensure that all sections for Eligible Counterparties in \"&_xlfn.ARRAYTOTEXT(_xlfn._xlws.FILTER('A - Cross-border activity'!A80:A108,_xlfn.ANCHORARRAY(M51)))&\" are filled in\",\"\")","v":""},"Clients reported but no services filled in, or no value of transactions reported, or no financial instruments reported","If column B is not zero, separately check the sum of columns C to Q, column R and column S",null,false,false,{"$f":"_xlfn.BYROW('A - Cross-border activity'!B80:S108, _xlfn.LAMBDA(_xlpm.array, IF(INDEX(_xlpm.array,1) > 0, OR(SUM(INDEX(_xlpm.array, _xlfn.SEQUENCE(15,1,2))) = 0, INDEX(_xlpm.array, 17) = 0, ISBLANK(INDEX(_xlpm.array, 18))))))","v":false}]
[null,4,null,{"$f":"OR(_xlfn.ANCHORARRAY(N52))","v":false},null,null,{"$f":"IF(D52, \"Ensure that the total number of Retail clients is filled in for \"&_xlfn.ARRAYTOTEXT(_xlfn._xlws.FILTER('A - Cross-border activity'!A10:A38,_xlfn.ANCHORARRAY(N52))),\"\")","v":""},"Services, value or instruments reported but no clients","Unless columns C to S are all blank, check column B",null,false,false,false,{"$f":"_xlfn.BYROW('A - Cross-border activity'!B10:S38,_xlfn.LAMBDA(_xlpm.array,IF(OR(SUM(INDEX(_xlpm.array,_xlfn.SEQUENCE(15,1,2)))>0,INDEX(_xlpm.array,17)>0,NOT(ISBLANK(INDEX(_xlpm.array,18)))),INDEX(_xlpm.array,1)=0)))","v":false}]
[null,5,null,{"$f":"OR(_xlfn.ANCHORARRAY(O53))","v":false},null,null,{"$f":"IF(D53, \"Ensure that the total number of Professional clients is filled in for \"&_xlfn.ARRAYTOTEXT(_xlfn._xlws.FILTER('A - Cross-border activity'!A45:A73,_xlfn.ANCHORARRAY(O53))),\"\")","v":""},"Services, value or instruments reported but no clients","Unless columns C to S are all blank, check column B",null,false,false,false,false,{"$f":"_xlfn.BYROW('A - Cross-border activity'!B45:S73,_xlfn.LAMBDA(_xlpm.array,IF(OR(SUM(INDEX(_xlpm.array,_xlfn.SEQUENCE(15,1,2)))>0,INDEX(_xlpm.array,17)>0,NOT(ISBLANK(INDEX(_xlpm.array,18)))),INDEX(_xlpm.array,1)=0)))","v":false}]
[null,6,null,{"$f":"OR(_xlfn.ANCHORARRAY(P54))","v":false},{"$f":"COUNTIF(D49:D54, TRUE)","v":0},null,{"$f":"IF(D54, \"Ensure that the total number of Eligible Counterparties is filled in for \"&_xlfn.ARRAYTOTEXT(_xlfn._xlws.FILTER('A - Cross-border activity'!A80:A108,_xlfn.ANCHORARRAY(P54))),\"\")","v":""},"Services, value or instruments reported but no clients","Unless columns C to S are all blank, check column B",null,false,false,false,false,false,{"$f":"_xlfn.BYROW('A - Cross-border activity'!B80:S108,_xlfn.LAMBDA(_xlpm.array,IF(OR(SUM(INDEX(_xlpm.array,_xlfn.SEQUENCE(15,1,2)))>0,INDEX(_xlpm.array,17)>0,NOT(ISBLANK(INDEX(_xlpm.array,18)))),INDEX(_xlpm.array,1)=0)))","v":false}]
[null,null,null,null,null,null,null,null,null,null,false,false,false,false,false,false]
["A - Retail Investor Trends",1,null,{"$f":"ISBLANK('A - Retail Investor Trends'!F5)","v":true},null,null,{"$f":"IF(D56, \"Ensure that Question 1 is filled in\", \"\")","v":"Ensure that Question 1 is filled in"},"Question 1 is blank","Check if cell F5 is blank",null,false,false,false,false,false,false]
[null,2,null,{"$f":"IF('A - Retail Investor Trends'!F5=\"Yes\",SUM('A - Retail Investor Trends'!B11:B19)<>1)","v":false},null,null,{"$f":"IF(D57, \"Ensure that the sum of percentages in Question 2 is equal to 100%\", \"\")","v":""},"The percentages in Question 2 do not add up to 100%","Check if cells B11 to B19 add up to 1",null,false,false,false,false,false,false]
[null,3,null,{"$f":"IF('A - Retail Investor Trends'!B19>0, ISBLANK('A - Retail Investor Trends'!A22))","v":false},null,null,{"$f":"IF(D58, \"Ensure that Question 2.1 is answered if a % is included under 'Other' in Question 2\", \"\")","v":""},"\"Other\" instruments indicated but not clarified","If cell B19 is not 0, check if cell A22 is blank",null,false,false,false,false,false,false]
[null,4,null,{"$f":"IF('A - Retail Investor Trends'!F5=\"Yes\", COUNTIF('A - Retail Investor Trends'!B26:B28,\"Yes\") = 0)","v":false},null,null,{"$f":"IF(D59, \"Ensure that Question 3 is completed\", \"\")","v":""},"No service marked \"Yes\" in Question 3","If Question 1 is positive, check if the range B26:B28 contains any cells marked \"Yes\"",null,false,false,false,false,false,false]
[null,5,null,{"$f":"IF('A - Retail Investor Trends'!B26=\"Yes\",COUNTA('A - Retail Investor Trends'!B33:F33) < 1)","v":false},null,null,{"$f":"IF(D60, \"Kindly indicate the change in Retail investor demand for Non-Advisory services in Question 3.1\",\"\")","v":""},"\"Non-Advisory\" marked in question 3 but not 3.1","If cell B26 is marked \"Yes\" check range B33:F33 for any non-empty cells",null,false,false,false,false,false,false]
[null,7,null,{"$f":"IF(COUNTA('A - Retail Investor Trends'!B33:F33) > 0, 'A - Retail Investor Trends'!B26 <> \"Yes\")","v":false},null,null,{"$f":"IF(D61, \"Ensure to select 'Non-Advisory' in Question 3, if the change in client's demand for this service was indicated in Question 3.1\", \"\")","v":""},"\"Non-Advisory\" marked in question 3.1 but not 3","If range B33:F33 is non-empty, check cell B26",null,false,false,false,false,false,false]
[null,8,null,{"$f":"IF('A - Retail Investor Trends'!B27=\"Yes\",COUNTA('A - Retail Investor Trends'!B34:F34) < 1)","v":false},null,null,{"$f":"IF(D62, \"Ensure that Question 3.1 is replied, if 'Yes' is selected for 'Advisory' in Question 3\", \"\")","v":""},"\"Advisory\" marked in question 3 but not 3.1","If cell B27 is marked \"Yes\" check range B34:F34 for any non-empty cells",null,false,false,false,false,false,false]
[null,9,null,{"$f":"IF(COUNTA('A - Retail Investor Trends'!B34:F34) > 0, 'A - Retail Investor Trends'!B27 <> \"Yes\")","v":false},null,null,{"$f":"IF(D63, \"Ensure to select 'Advisory' in Question 3, if the change in client's demand for this service was indicated in Question 3.1\", \"\")","v":""},"\"Advisory\" marked in question 3.1 but not 3","If range B34:F34 is non-empty, check cell B27",null,false,false,false,false,false,false]
[null,10,null,{"$f":"IF('A - Retail Investor Trends'!B28=\"Yes\",COUNTA('A - Retail Investor Trends'!B35:F35) < 1)","v":false},null,null,{"$f":"IF(D64, \"Ensure that Question 3.1 is replied, if 'Yes' is selected for 'Wealth/portfolio management' in Question 3\", \"\")","v":""},"\"management\" marked in question 3 but not 3.1","If cell B28 is marked \"Yes\" check range B35:F35 for any non-empty cells",null,false,false,false,false,false,false]
[null,11,null,{"$f":"IF(COUNTA('A - Retail Investor Trends'!B35:F35) > 0, 'A - Retail Investor Trends'!B28 <> \"Yes\")","v":false},null,null,{"$f":"IF(D65, \"Ensure to select 'Wealth/portfolio management' in Question 3, if the change in client's demand for this service was indicated in Question 3.1\", \"\")","v":""},"\"management\" marked in question 3.1 but not 3","If range B35:F35 is non-empty, check cell B28",null,false,false,false,false,false,false]
[null,12,null,{"$f":"COUNTA('A - Retail Investor Trends'!B33:F33) > 1","v":false},null,null,{"$f":"IF(D66,\"Kindly ensure that \"&CHAR(34)&\"Non-Advisory\"&CHAR(34)&\" is only marked once in Question 3.1\",\"\")","v":""},"\"Non-Advisory\"marked more than once","Check that range B33:F33 has at most one non-empty cell",null,false,false,false,false,false,false]
[null,13,null,{"$f":"COUNTA('A - Retail Investor Trends'!B34:F34) > 1","v":false},null,null,{"$f":"IF(D67,\"Kindly ensure that \"&CHAR(34)&\"Advisory\"&CHAR(34)&\" is only marked once in Question 3.1\",\"\")","v":""},"\"Advisory marked more than once","Check that range B34:F34 has at most one non-empty cell",null,false,false,false,false,false,false]
[null,14,null,{"$f":"COUNTA('A - Retail Investor Trends'!B35:F35) > 1","v":false},null,null,{"$f":"IF(D68,\"Kindly ensure that \"&CHAR(34)&\"Wealth/portfolio management\"&CHAR(34)&\" is only marked once in Question 3.1\",\"\")","v":""},"\"management\" marked more than once","Check that range B35:F35 has at most one non-empty cell",null,false,false,false,false,false,false]
[null,15,null,{"$f":"IF(COUNTA('A - Retail Investor Trends'!B33:C35)>0, COUNTA('A - Retail Investor Trends'!A38:A41) = 0)","v":false},null,null,{"$f":"IF(D69, \"Ensure to indicate the reason for the increasing in client's demand in Question 3.1.1\", \"\")","v":""},"An increase is indicated in question 3.1 but no reason given in 3.1.1","Unless range B33:C35 is empty, check range A38:A41",null,false,false,false,false,false,false]
[null,16,null,{"$f":"IF(COUNTIF('A - Retail Investor Trends'!A38:A41,\"Other (Please specify)\"),ISBLANK('A - Retail Investor Trends'!A43))","v":false},null,null,{"$f":"IF(D70, \"Ensure that reasons for increase in demand labelled \"&CHAR(34)&\"Other\"&CHAR(34)&\" are described\",\"\")","v":""},"\"other\" is reported in Question 3.1.1 but no clarification given","If range A38:A41 contains \"Other\", check cell A43",null,false,false,false,false,false,false]
[null,17,null,{"$f":"IF(COUNTA('A - Retail Investor Trends'!E33:F35)>0,COUNTA('A - Retail Investor Trends'!A46:A49) = 0)","v":false},null,null,{"$f":"IF(D71, \"Ensure to indicate the reason for the decrease in client's demand in Question 3.1.1\", \"\")","v":""},"A decrease is indicated in question 3.1 but no reason given in 3.1.2","Unless range E33:F35 is empty, check range A46:A49",null,false,false,false,false,false,false]
[null,18,null,{"$f":"IF(COUNTIF('A - Retail Investor Trends'!A46:A49,\"Other (Please specify)\"),ISBLANK('A - Retail Investor Trends'!A51))","v":false},null,null,{"$f":"IF(D72, \"Ensure that reasons for decrease in demand labelled Other are described\",\"\")","v":""},"\"other\" is reported in Question 3.1.2 but no clarification given","If range A46:A49 contains \"Other\", check cell A51",null,false,false,false,false,false,false]
[null,19,null,{"$f":"AND(IF('A - Retail Investor Trends'!B11=0, 0, IF(COUNTA('A - Retail Investor Trends'!B$56:B$64), 0, 1)), FALSE)","v":false},"Disabled since they are not checking a clear-cut situation",null,{"$f":"IF(D73, \"Ensure that the column for 'Shares' in Question 4 is marked, since the product was selected in Question 2\", \"\")","v":""},"Shares are marked in Question 2 but not Question 4","Unless cell B11 is 0, check range B56:B64",null,false,false,false,false,false,false]
[null,20,null,{"$f":"AND(FALSE,IF('A - Retail Investor Trends'!B12=0, 0, IF(COUNTA('A - Retail Investor Trends'!C$56:C$64), 0, 1)))","v":false},null,null,{"$f":"IF(D74, \"Ensure that the column 'Bonds' in Question 4 is marked, since the product was selected in Question 2\", \"\")","v":""},"Bonds are marked in Question 2 but not Question 4","Unless cell B12 is 0, check range C56:C64",null,false,false,false,false,false,false]
[null,21,null,{"$f":"AND(FALSE,IF('A - Retail Investor Trends'!B13=0, 0, IF(COUNTA('A - Retail Investor Trends'!D$56:D$64), 0, 1)))","v":false},null,null,{"$f":"IF(D75, \"Ensure that the column 'Structured securities' in Question 4 is marked, since the product was selected in Question 2\", \"\")","v":""},"Structured Securities are marked in Question 2 but not Question 4","Unless cell B13 is 0, check range D56:D64",null,false,false,false,false,false,false]
[null,22,null,{"$f":"AND(FALSE, IF('A - Retail Investor Trends'!B14=0, 0, IF(COUNTA('A - Retail Investor Trends'!E$56:E$64), 0, 1)))","v":false},null,null,{"$f":"IF(D76, \"Ensure that the column 'Money-market securities' in Question 4 marked, since the product was selected in Question 2\", \"\")","v":""},"Money Market Instruments are marked in Question 2 but not Question 4","Unless cell B14 is 0, check range E56:E64",null,false,false,false,false,false,false]
[null,23,null,{"$f":"AND(FALSE, IF('A - Retail Investor Trends'!B15=0, 0, IF(COUNTA('A - Retail Investor Trends'!F$56:F$64), 0, 1)))","v":false},null,null,{"$f":"IF(D77, \"Ensure that the column 'Units in collective investment undertakings' in Question 4 marked, since the product was selected in Question 2\",\"\")","v":""},"UCITS are marked in Question 2 but not Question 4","Unless cell B15 is 0, check range F56:F64",null,false,false,false,false,false,false]
[null,24,null,{"$f":"AND(FALSE, IF('A - Retail Investor Trends'!B16=0, 0, IF(COUNTA('A - Retail Investor Trends'!G$56:G$64), 0, 1)))","v":false},null,null,{"$f":"IF(D78, \"Ensure that the column 'Derivatives' in Question 4 marked, since the product was selected in Question 2\", \"\")","v":""},"Derivatives are marked in Question 2 but not Question 4","Unless cell B16 is 0, check range G56:G64",null,null,false,false,false,false,false]
[null,25,null,{"$f":"AND(FALSE, IF('A - Retail Investor Trends'!B17=0, 0, IF(COUNTA('A - Retail Investor Trends'!H$56:H$64), 0, 1)))","v":false},null,null,{"$f":"IF(D79, \"Ensure that the column 'CFDs' in Question 4 marked, since the product was selected in Question 2\",\"\")","v":""},"CFDs are marked in Question 2 but not Question 4","Unless cell B17 is 0, check range H56:H64",null,null,null,false,false,false,false]
[null,26,null,{"$f":"AND(FALSE, IF('A - Retail Investor Trends'!B18=0, 0, IF(COUNTA('A - Retail Investor Trends'!I$56:I$64), 0, 1)))","v":false},null,null,{"$f":"IF(D80, \"Ensure that the column 'ETFs' in Question 4 marked, since the product was selected in Question 2\", \"\")","v":""},"ETFs are marked in Question 2 but not Question 4","Unless cell B18 is 0, check range I56:I64",null,null,null,null,false,false,false]
[null,27,null,{"$f":"AND(FALSE, IF('A - Retail Investor Trends'!B19=0, 0, IF(COUNTA('A - Retail Investor Trends'!J$56:J$64), 0, 1)))","v":false},null,null,{"$f":"IF(D81, \"Ensure that the column 'Other Financial Instruments' in Question 4 marked, since the product was selected in Question 2\", \"\")","v":""},"Other Financial Instruments are marked in Question 2 but not Question 4","Unless cell B19 is 0, check range J56:J64",null,null,null,null,null,false,false]
[null,28,null,{"$f":"AND(FALSE,IF(COUNTA('A - Retail Investor Trends'!B56:B64),IF('A - Retail Investor Trends'!B12<>0,0,1),0))","v":false},null,null,{"$f":"IF(D82, \"Ensure that the column 'Shares' is selected in Question 2, since one or more method of communication were selected in Question 4\", \"\")","v":""},"Shares are marked in Question 4 but not Question 2","Unless range B56:B64 is empty, check cell B11",null,null,null,null,null,null,false]
[null,29,null,{"$f":"AND(FALSE, IF((COUNTIF('A - Retail Investor Trends'!C$56:C$64,\"X\"))=0, 0, IF('A - Retail Investor Trends'!B13<>\"\", 0, 1)))","v":false},null,null,{"$f":"IF(D83, \"Ensure that the column 'Bonds' is selected in Question 2, since one or more method of communication were selected in Question 4\", \"\")","v":""},"Bonds are marked in Question 4 but not Question 2","Unless range C56:C64 is empty, check cell B12"]
[null,30,null,{"$f":"AND(FALSE, IF((COUNTIF('A - Retail Investor Trends'!D$56:D$64,\"X\"))=0, 0, IF('A - Retail Investor Trends'!B14<>\"\", 0, 1)))","v":false},null,null,{"$f":"IF(D84, \"Ensure that the column 'Structured Securities' is selected in Question 2, since one or more method of communication were selected in Question 4\", \"\")","v":""},"Structured Securities are marked in Question 4 but not Question 2","Unless range D56:D64 is empty, check cell B13"]
[null,31,null,{"$f":"AND(FALSE, IF((COUNTIF('A - Retail Investor Trends'!E$56:E$64,\"X\"))=0, 0, IF('A - Retail Investor Trends'!B15<>\"\", 0, 1)))","v":false},null,null,{"$f":"IF(D85, \"Ensure that the column 'Money-market securities' is selected in Question 2, since one or more method of communication were selected in Question 4\", \"\")","v":""},"Money Market Instruments are marked in Question 4 but not Question 2","Unless range E56:E64 is empty, check cell B14"]
[null,32,null,{"$f":"AND(FALSE, IF((COUNTIF('A - Retail Investor Trends'!F$56:F$64,\"X\"))=0, 0, IF('A - Retail Investor Trends'!B16<>\"\", 0, 1)))","v":false},null,null,{"$f":"IF(D86, \"Ensure that the column 'Units in collective investment undertakings' is selected in Question 2, since one or more method of communication were selected in Question 4\", \"\")","v":""},"UCITS are marked in Question 4 but not Question 2","Unless range F56:F64 is empty, check cell B15"]
[null,33,null,{"$f":"AND(FALSE, IF((COUNTIF('A - Retail Investor Trends'!G$56:G$64,\"X\"))=0, 0, IF('A - Retail Investor Trends'!B17<>\"\", 0, 1)))","v":false},null,null,{"$f":"IF(D87, \"Ensure that the column 'Derivatives' is selected in Question 2, since one or more method of communication were selected in Question 4\", \"\")","v":""},"Derivatives are marked in Question 4 but not Question 2","Unless range G56:G64 is empty, check cell B16"]
[null,34,null,{"$f":"AND(FALSE, IF((COUNTIF('A - Retail Investor Trends'!H$56:H$64,\"X\"))=0, 0, IF('A - Retail Investor Trends'!B18<>\"\", 0, 1)))","v":false},null,null,{"$f":"IF(D88, \"Ensure that the column 'CFDs' is selected in Question 2, since one or more method of communication were selected in Question 4\", \"\")","v":""},"CFDs are marked in Question 4 but not Question 2","Unless range H56:H64 is empty, check cell B17"]
[null,35,null,{"$f":"AND(FALSE, IF((COUNTIF('A - Retail Investor Trends'!I$56:I$64,\"X\"))=0, 0, IF('A - Retail Investor Trends'!B19<>\"\", 0, 1)))","v":false},null,null,{"$f":"IF(D89, \"Ensure that the column 'ETFs' is selected in Question 2, since one or more method of communication were selected in Question 4\", \"\")","v":""},"ETFs are marked in Question 4 but not Question 2","Unless range I56:I64 is empty, check cell B18"]
[null,36,null,{"$f":"AND(FALSE, IF((COUNTIF('A - Retail Investor Trends'!J$56:J$64,\"X\"))=0, 0, IF('A - Retail Investor Trends'!B20<>\"\", 0, 1)))","v":false},null,null,{"$f":"IF(D90, \"Ensure that the column 'Other financial instruments' is selected in Question 2, since one or more method of communication were selected in Question 4\", \"\")","v":""},"Other Financial Instruments are marked in Question 4 but not Question 2","Unless range J56:J64 is empty, check cell B19"]
[null,37,null,{"$f":"IF(COUNTA('A - Retail Investor Trends'!B64:J64), ISBLANK('A - Retail Investor Trends'!A67))","v":false},null,null,{"$f":"IF(D91, \"Ensure that Question 4.1 is compiled, since 'Other' was replied in Question 4\", \"\")","v":""},"Other selected in Question 4 but no clarification provided","Unless range B64:J64 is empty, check cell A 67"]
[null,38,null,{"$f":"IF('A - Retail Investor Trends'!F5=\"Yes\",ISBLANK('A - Retail Investor Trends'!G69))","v":false},null,null,{"$f":"IF(D92, \"Ensure that Question 5 is filled in\", \"\")","v":""},"Question 5 is not answered","Check cell G69 (nice)"]
[null,39,null,{"$f":"IF('A - Retail Investor Trends'!F5=\"Yes\",ISBLANK('A - Retail Investor Trends'!A72))","v":false},null,null,{"$f":"IF(D93, \"Ensure that Question 6 is filled in\", \"\")","v":""},"Question 6 is not answered","Check cell A72"]
[null,40,null,{"$f":"IF('A - Retail Investor Trends'!F5=\"Yes\",ISBLANK('A - Retail Investor Trends'!G74))","v":false},null,null,{"$f":"IF(D94, \"Ensure that Question 7 is filled in\", \"\")","v":""},"Question 7 is not answered","Check cell G74"]
[null,41,null,{"$f":"IF('A - Retail Investor Trends'!G74 > 0, 'A - Retail Investor Trends'!G76 = 0)","v":false},null,null,{"$f":"IF(D95, \"Kindly indicate the aggragate value of retail investor assets in Question 7.1\", \"\")","v":""},"Number not provided in Question 7.1","Unless cell G74 is zero, check cell G76"]
[null,42,null,{"$f":"IF('A - Retail Investor Trends'!G74 > 0,'A - Retail Investor Trends'!G76 >= 'A - Retail Investor Trends'!G74*20000)","v":false},{"$f":"COUNTIF(D56:D96,TRUE)","v":1},null,{"$f":"IF(D96, \"Kindly review the value of retail investor assets in Question 7.1\", \"\")","v":""},"Value in question 7.1 is greater than 20000 times the bumber of accounts","Unless cell G74 is zero, check that the value in G76 is less than G74 * 20000"]
[]
["A - Complaints",1,null,{"$f":"IF(SUM('A - Complaints'!F17,'A - Complaints'!F25,'A - Complaints'!F33,'A - Complaints'!F46),IF('A - Complaints'!C49<>\"\",0, 1),0)","v":0},null,null,{"$f":"IF(D98, \"Ensure that you have included comments in the box under Table 1, if at least a complaint is indicated under 'Other' - causes\", \"\")","v":""},"Complaints related to \"Other\" causes in Table 1 are not clarified","Unless all \"other\" causes (F17, F25, F33, F46)are zero, check cell C49"]
[null,2,null,{"$f":"IF(SUM('A - Complaints'!F12,'A - Complaints'!F23,'A - Complaints'!F31,'A - Complaints'!F40) > 0,IF('A - Complaints'!C48<>\"\",0,1),0)","v":0},null,null,null,"ESG complaints in Table 1 are not clarified","Unless all \"other\" causes (F12, F23, F31, F40)are zero, check cell C48"]
[null,3,null,{"$f":"IF(SUM('A - Complaints'!D47:E47) > 0,IF('A - Complaints'!C51<>\"\",0,1),0)","v":0},null,null,{"$f":"IF(D100,\"Kindly indicate the top three jurisdictions outside Malta from which complaints were received\",\"\")","v":""},"Complaints reported from outside Malta but the jurisdictions are not specified","If the range D47:E47 are non-zero, check cell C51"]
[null,4,null,{"$f":"IF('A - Complaints'!F64 > 0,IF('A - Complaints'!C66<>\"\",0, 1),0)","v":0},null,null,{"$f":"IF(D101, \"Ensure that you have included comments in the box under Table 2, if at least a complaint is indicated under 'Other' - products\",\"\")","v":""},"Complaints related to \"Other\" products in Table 2 are not clarified","If the cell F64 is non-zero, check cell C66"]
[null,5,null,{"$f":"IF('A - Complaints'!F70>0,IF('A - Complaints'!C74<>\"\",0, 1),0)","v":0},null,null,{"$f":"IF(D102, \"Ensure that you have included comments in the box under Table 3, if at least a complaint was received in relation to crypto assets/ICOs\", \"\")","v":""},"No explanation is given for crypto/ICO related complaints","If cell F70 is non-zero, check cell F74"]
[null,6,null,{"$f":"IF(AND('A - Complaints'!C47='A - Complaints'!C65,'A - Complaints'!D47='A - Complaints'!D65, 'A - Complaints'!E47='A - Complaints'!E65, 'A - Complaints'!G47='A - Complaints'!G65, 'A - Complaints'!H47='A - Complaints'!H65), 0, 1)","v":0},null,null,{"$f":"IF(D103, \"Ensure that the number of complaints in Table 1 and Table 2 tally\", \"\")","v":""},"The totals of Table 1 and Table 2 do not match","Compare the totals of each row individually"]
[null,7,null,{"$f":"IF('A - Complaints'!F73>0, IF(AND('A - Complaints'!C47='A - Complaints'!C73,'A - Complaints'!D47='A - Complaints'!D73, 'A - Complaints'!E47='A - Complaints'!E73, 'A - Complaints'!G47='A - Complaints'!G73, 'A - Complaints'!H47='A - Complaints'!H73), 0, 1), 0)","v":0},{"$f":"SUM(D98:D104)","v":0},null,{"$f":"IF(D104, \"Ensure that the number of complaints in Table 1 and Table 3 tally\", \"\")","v":""},"(Assuming Table 3 is used) The totals of Table 1 and Table 3 do not match","If Table 3 is filled in (i.e., there are non-zero totals), compare the totals of each row individually"]
[]
["A - Arbiter",1,null,{"$f":"IF('A - Office of the Arbiter'!E4=0, 0, IF(COUNTA('A - Office of the Arbiter'!C8:C57) >= 'A - Office of the Arbiter'!E4, 0, 1))","v":0},{"$f":"SUM(D106)","v":0},null,{"$f":"IF(D106, \"Ensure to include the relevant information on the \"&'A - Office of the Arbiter'!E4&\" complaint(s) referred to the Arbiter during the reporting period\", \"\")","v":""},"Details of complaints referred to the OAFS during the reporting quarter are not provided","If cell E4 is non-zero, there should be at least as many entries as reported in the previous tab"]
[]
["A - Online presence",1,null,{"$f":"IF('A - Online & Social Presence'!B9<>\"\", 0, 1)","v":1},null,null,{"$f":"IF(D108, \"Ensure that Question 1 has at least one entry, either a link or \"&CHAR(34)&\"N/A\"&CHAR(34), \"\")","v":"Ensure that Question 1 has at least one entry, either a link or \"N/A\""},"Tab is left blank","Check for at least one entry"]
[null,2,null,{"$f":"IF('A - Online & Social Presence'!B35<>\"\", 0, 1)","v":1},{"$f":"SUM(D108:D109)","v":2},null,{"$f":"IF(D109, \"Ensure that Question 2 has at least one entry, either a link or \"&CHAR(34)&\"N/A\"&CHAR(34), \"\")","v":"Ensure that Question 2 has at least one entry, either a link or \"N/A\""},"Tab is left blank","Check for at least one entry"]
[]
["A - Branches",1,null,{"$f":"ISBLANK('A - Branches'!H3)","v":true},null,null,{"$f":"IF(D111, \"Ensure that Question 1 is filled in\", \"\")","v":"Ensure that Question 1 is filled in"},"Question 1 left blank","Check cell H3"]
[null,2,null,{"$f":"IF('A - Branches'!H3=\"Yes\", COUNTA('A - Branches'!B9:B37)=0)","v":false},null,null,{"$f":"IF(D112, \"Ensure that Question 2 is answered since Question 1 was marked 'Yes'\", \"\")","v":""},"No jurisdictions marked","If cell H3 is \"Yes\", check range B9:B38"]
[null,3,null,{"$f":"OR(_xlfn.ANCHORARRAY(K113))","v":false},null,null,{"$f":"IF(D113,\"Ensure to include correct information in relation to the branch(es) in \"&_xlfn.ARRAYTOTEXT(_xlfn._xlws.FILTER('A - Branches'!A9:A37,_xlfn.ANCHORARRAY(K113))),\"\")","v":""},"Not all columns of a country are marked","Check each row to make sure there are either no responses or 4 responses",null,{"$f":"_xlfn.BYROW('A - Branches'!B9:H37,_xlfn.LAMBDA(_xlpm.array,NOT(OR(COUNTA(_xlpm.array)=0,COUNTA(_xlpm.array)=4))))","v":false}]
[null,4,null,{"$f":"IF(COUNTIF('A - Branches'!H9:H37,\"Yes\"), ISBLANK('A - Branches'!A40))","v":false},null,null,{"$f":"IF(D114, \"Ensure that information on clients serviced outside the branch's jurisdiction are provided in Question 2.1\", \"\")","v":""},"A branch services a client outside it's jurisdiction but no further details provided","If there are any \"Yes\"es in range H9:H37, check cell A40",null,false]
[null,5,null,{"$f":"IF('A - Branches'!H3=\"Yes\", ISBLANK('A - Branches'!H46))","v":false},null,null,{"$f":"IF(D115, \"Ensure that Question 3 is filled in\", \"\")","v":""},"Question 3 is blank","Check cell H46",null,false]
[null,6,null,{"$f":"IF('A - Branches'!H46=\"Yes\", ISBLANK('A - Branches'!A49))","v":false},{"$f":"COUNTIF(D111:D116,TRUE)","v":1},null,{"$f":"IF(D116, \"Ensure that Question 3.1 is filled in if Question 3 is replied as 'Yes'\", \"\")","v":""},"Question 3 is \"Yes\" but Question 3.1 is blank","If Cell H46 is \"Yes\", check cell A49",null,false]
[null,null,null,null,null,null,null,null,null,null,false]
["A - Additional details",1,null,{"$f":"_xlfn.XOR(SUM('A - Additional Details'!H10:L27)=0,SUM('A - Additional Details'!H37:L37)=0)","v":false},null,null,{"$f":"IF(D118, \"Ensure that both Question 1 and Question 1.1 are filled in accordingly\", \"\")","v":""},"Either table 1 or 1.1 was filled in but not the other","Check if either there are accounts in question 1 (H10:L27) and clients in question 1.1 (H37:L37), or both questions are blank",null,false]
[null,2,null,{"$f":"OR('A - Additional Details'!L33<>SUM('A - Additional Details'!J47:J275),'A - Additional Details'!L34<>SUM('A - Additional Details'!L47:L275),'A - Additional Details'!L35<>SUM('A - Additional Details'!N47:N275),'A - Additional Details'!L36<>SUM('A - Additional Details'!P47:P275))","v":false},null,null,{"$f":"IF(D119, \"Ensure that the number of non-EEA clients reported in Question 1.2 tallies with the number of clients reported in Question 1.1 for each catagorization\", \"\")","v":""},"Numbers reported in table 1.1 do not match table 1.2","Compare the sum of each column to the corresponding row in table 1.1",null,false]
[null,3,null,{"$f":"OR('A - Additional Details'!H39:L42 > 'A - Additional Details'!H33:L36)","v":false},null,null,{"$f":"IF(D120, \"Ensure that the number of all clients reported in Question 1.1 is greater than or equal to the number of active clients for each client catagorization and jurisdiction\", \"\")","v":""},"More active clients reported than total clients","Compare every cell in the second half of table 1.1 with the corresponding cells in the first half to check for any errors",null,false]
[null,4,null,{"$f":"ISBLANK('A - Additional Details'!P279)","v":true},null,null,{"$f":"IF(D121, \"Ensure that Question 2 is filled in\", \"\")","v":"Ensure that Question 2 is filled in"},"Question 2 left blank","Check if data input cell (P279) is empty",null,false]
[null,5,null,{"$f":"ISBLANK('A - Additional Details'!P286)","v":true},null,null,{"$f":"IF(D122, \"Ensure that Question 3 is filled in\",\"\")","v":"Ensure that Question 3 is filled in"},"Question 3 left blank","Check if data input cell (P286) is empty",null,false]
[null,6,null,{"$f":"IF('A - Additional Details'!P286 =\"Yes\",ISBLANK('A - Additional Details'!B293))","v":false},{"$f":"COUNTIF(D118:D123, TRUE)","v":2},null,{"$f":"IF(D123, \"Ensure that Question 4 is filled in if 'Yes' is selected in Question 3\",\"\")","v":""},"Positive response to question 3 but question 4 left blank","Unless Question 3 (P286) is negative, check if at least one broker/affiliate is named",null,false]
[null,null,null,null,null,null,null,null,null,null,false]
["Total",{"$f":"COUNT(B33:B123)","v":83},null,null,{"$f":"E36+E47+E54+E96+E104+E106+E109+E116+E123","v":11},null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]
[null,null,null,null,null,null,null,null,null,null,false]

{"sheet":"A - Innovation","index":2,"n_rows":67,"n_cols":15,"rows_kept":67,"cut":false,"hidden":false,"merged":[[67,0,71,10],[23,0,27,10],[0,0,0,10],[2,0,2,10],[6,0,6,10],[10,0,14,10],[7,3,7,5],[17,3,17,5],[18,3,18,5],[19,3,19,5],[20,3,20,5],[32,3,32,5],[31,3,31,5],[30,3,30,5],[46,3,46,5],[47,3,47,5],[39,0,43,10],[35,3,35,5],[34,3,34,5],[33,3,33,5],[62,1,62,4],[63,1,63,4],[64,1,64,4],[48,3,48,5],[58,1,58,4],[59,1,59,4],[60,1,60,4],[61,1,61,4],[51,0,55,10]]}
["Innovation Survey"]
[]
["Kindly refer to the Glossary available on our website for further information regarding certain terms used in this survey. \nFinancial innovation is defined as the act of creating and distributing new financial instruments, processes, business models and markets, including the new application of existing ideas in a different market context.\nIf the Company replies 'No innovations' to Question 1, the rest of the Survey must be left blank. "]
[null,null,null,null,null,null,null,null,null,null,null,null,1,"Product",false]
["Financial innovations and their priority/importance in the market",null,null,null,null,null,null,null,null,null,null,null,1,"Process",false]
[null,null,null,null,null,null,null,null,null,null,null,null,1,"No innovation",false]
["1. Kindly indicate if the Company has made use of innovations related to its product and/or services during the reporting quarter.",null,null,null,null,null,null,null,null,null,null,null,2,"More info on the innovation",{"$f":"A11","v":0}]
[null,"Product",null,"Process",null,null,null,"No Innovations",null,null,null,null,3,"Equity",false]
[null,null,null,null,null,null,null,null,null,null,null,null,3,"Debt",false]
["2. Kindly provide more information on the innovation. ",null,null,null,null,null,null,null,null,null,null,null,3,"Units in collective investment undertakings",false]
[null,null,null,null,null,null,null,null,null,null,null,null,3,"Derivatives (option, futures, etc)",false]
[null,null,null,null,null,null,null,null,null,null,null,null,3,"CFDs",false]
[null,null,null,null,null,null,null,null,null,null,null,null,3,"ETFs",false]
[null,null,null,null,null,null,null,null,null,null,null,null,3,"Other financial instruments",false]
[null,null,null,null,null,null,null,null,null,null,null,null,3,"The innovation does not apply to products",false]
[null,null,null,null,null,null,null,null,null,null,null,null,3.1,"Other information, if 'Other' was selected in Q3",{"$f":"A24","v":0}]
["3. Does the innovation apply to one or more of the following financial instruments?",null,null,null,null,null,null,null,null,null,null,null,4,"API (incl. payment services)",false]
[null,"Equity",null,"Debt",null,null,null,null,null,null,null,null,4,"Natural Language Processing",false]
[null,"Units in collective investment undertakings",null,"Derivatives (options, futures, etc...)",null,null,null,null,null,null,null,null,4,"AI/Machine learning/Big data",false]
[null,"Contracts for difference (CFDs)",null,"Exchange-traded funds (ETFs)",null,null,null,null,null,null,null,null,4,"Optical Character Recognition",false]
[null,"Other financial instruments",null,"The innovation does not apply to products",null,null,null,null,null,null,null,null,4,"Automated Advice",false]
[null,null,null,null,null,null,null,null,null,null,null,null,4,"Quantum Computing",false]
["3.1 If the \"Other financial instruments\" was chosen in Question 3, please provide further details in the box below. ",null,null,null,null,null,null,null,null,null,null,null,4,"Cloud Computing",false]
[null,null,null,null,null,null,null,null,null,null,null,null,4,"Smart Contracts",false]
[null,null,null,null,null,null,null,null,null,null,null,null,4,"Data management tools",false]
[null,null,null,null,null,null,null,null,null,null,null,null,4,"Web scraping",false]
[null,null,null,null,null,null,null,null,null,null,null,null,4,"DTL incl. payment services",false]
[null,null,null,null,null,null,null,null,null,null,null,null,4,"Other",false]
[null,null,null,null,null,null,null,null,null,null,null,null,4,"The innovation does not involve new tech",false]
["4. Does the innovation involve use of technology?",null,null,null,null,null,null,null,null,null,null,null,4.0999999999999996,"Other info, if 'Other' was selected in Q4",{"$f":"A40","v":0}]
[null,"Application Programming Interface (API) incl. Payment services",null,"Natural Language Processing",null,null,null,null,null,null,null,null,5,"Client services",false]
[null,"Artificial Intelligence (AI)/Machine learning/Big Data",null,"Optical Character Recognition",null,null,null,null,null,null,null,null,5,"Monitoring/research",false]
[null,"Automated Advice",null,"Quantum Computing",null,null,null,null,null,null,null,null,5,"Creation of a new business model",false]
[null,"Cloud Computing",null,"Smart Contracts",null,null,null,null,null,null,null,null,5,"Regulatory compliance/Reporting",false]
[null,"Data management tools",null,"Web scraping",null,null,null,null,null,null,null,null,5,"Improved process efficienty, e.g. through authomatisation",false]
[null,"Distributed Ledger Technology (DLT) incl. Payment services",null,"Other",null,null,null,null,null,null,null,null,5,"Other",false]
[null,"The innovation does not involve a new technology",null,null,null,null,null,null,null,null,null,null,5.0999999999999996,"More info, if 'Other' was selected in Q5",{"$f":"A52","v":0}]
[null,null,null,null,null,null,null,null,null,null,null,null,6,"Clearing and settling payments",false]
["4.1. If the \"Other\" filed was chosen in Question 4, please provide further details in the box below. ",null,null,null,null,null,null,null,null,null,null,null,6,"Dealing with asymmetric info/incentive problems",false]
[null,null,null,null,null,null,null,null,null,null,null,null,6,"Managing risk",false]
[null,null,null,null,null,null,null,null,null,null,null,null,6,"Pooling resources and subdiving shares",false]
[null,null,null,null,null,null,null,null,null,null,null,null,6,"Price formation",false]
[null,null,null,null,null,null,null,null,null,null,null,null,6,"Transferring resources across time and space",false]
[null,null,null,null,null,null,null,null,null,null,null,null,6,"Other",false]
[null,null,null,null,null,null,null,null,null,null,null,null,6.1,"More info, if 'Other' was selected in Q6",{"$f":"A68","v":0}]
["5. What is the business purpose of the innovation? "]
[null,"Client services",null,"Monitoring/research"]
[null,"Creation of a new business model",null,"Regulatory compliance/reporting"]
[null,"Improved process efficiency, e.g., through automation",null,"Other"]
[]
["5.1. If the \"Other\" filed was chosen in Question 5, please provide further details in the box below. "]
[]
[]
[]
[]
[]
[]
["6. What is the economic function of the innovation? "]
[null,"Clearing and settling payments (e.g., credit cards)"]
[null,"Dealing with asymmetric information/incentive problems (e.g., app to monitor driving for insurance purposes)"]
[null,"Managing risk (e.g., derivatives)"]
[null,"Pooling resources and subdividing shares (e.g., mutual funds)"]
[null,"Price formation (e.g., credit default swaps)"]
[null,"Transfering resources across time and space (e.g., bond issuance raises funding from purchasers in exchange for future coupon payments)"]
[null,"Other"]
[]
["6.1. If the \"Other\" filed was chosen in Question 6, please provide further details in the box below. "]

{"sheet":"A - Cross-border activity","index":3,"n_rows":144,"n_cols":19,"rows_kept":144,"cut":false,"hidden":false,"merged":[[41,1,43,1],[41,2,41,16],[41,17,43,17],[110,0,110,17],[112,2,112,9],[112,10,112,16],[77,10,77,16],[41,0,43,0],[0,0,0,18],[2,0,2,18],[5,0,5,18],[7,2,7,9],[7,10,7,16],[6,2,6,16],[6,0,8,0],[6,1,8,1],[6,17,8,17],[6,18,8,18],[3,0,3,17],[112,18,113,18],[75,0,75,18],[77,2,77,9],[40,0,40,18],[42,2,42,9],[42,10,42,16],[111,0,113,0],[111,1,113,1],[111,2,111,16],[111,17,113,17],[41,18,43,18],[76,0,78,0],[76,1,78,1],[76,2,76,16],[76,17,78,17],[76,18,78,18]]}
["Cross-border activity"]
[]
["Please fill in the number of clients per category of client (Retail / Professional / Eligible Counterparty) that are recipients of the below sevices on a cross-border basis during the reporting quarter, per country.\nBefore compiling the Survey, kindly ensure to review the Circular on 'Clarification Note addressed to MiFID II Investment Firms operating on a Freedom of Services (FoS) Cross-Border basis on Conduct Related Disclosures in the Financial Return Reporting and Other Important Regulatory Clarifications' available via:"]
["https://www.mfsa.mt/publication/clarification-note-addressed-to-mifid-ii-investment-firms-operating-on-a-freedom-of-services-fos-cross-border-basis-on-conduct-related-disclosures-in-the-mifid-firms-quarterly-reporting-and-other-im/"]
[]
["Retail Clients"]
["Residence","Total number of clients per jurisdiction","Breakdown for investment services",null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Value of the transactions (kindly include the gross notional volume of all orders, i.e. the sum of the total amount of all transactions, across all asset types, opened by clients within the relevant reporting period). To include N/A as relevant, depending on the services provided. ","Type(s) of financial instruments provided\n(in case where different types of financial instruments were provided, please indicate all the applicable ones. The selection allows multiple choices)"]
[null,null,"Investment Services and Activities as per Section A of Annex 1 of MiFID II",null,null,null,null,null,null,null,"Ancillary Services as per Section B of Annex I of MiFID II"]
[null,null,"Reception and Transmission of Orders ","Execution of orders on behalf of clients","Dealing on Own Account","Portfolio Management ","Investment Advice","Underwriting / placing of instruments on a firm commitment basis","Placing of Instruments without a firm commitment basis","Operation of a Multilateral Trading Facility ","Safekeeping and Administration of Financial Instruments ","Granting of credits or loans to an investor ","Advice to undertakings on capital Structure, Industrial Strategy and related Matters","Foreign Exchange Services ","Investment Research and Financial Analysis ","Services Related to Undertakings","Investment and Ancillary Services relating to the underlying of certain derivatives"]
["Austria"]
["Belgium"]
["Bulgaria"]
["Croatia"]
["Cyprus"]
["Czech Republic"]
["Denmark"]
["Estonia"]
["Finland"]
["France"]
["Germany"]
["Greece"]
["Hungary"]
["Iceland"]
["Ireland"]
["Italy"]
["Latvia"]
["Liechtenstein"]
["Lithuania"]
["Luxembourg"]
["Netherlands"]
["Norway"]
["Poland"]
["Portugal"]
["Romania"]
["Slovakia"]
["Slovenia"]
["Spain"]
["Sweden"]
["Total",null,{"$f":"SUM(C10:C38)","v":0},0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
[]
["Professional Clients"]
["Residence","Total number of clients per jurisdiction","Breakdown for investment services",null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Value of the transactions (kindly include the gross notional volume of all orders, i.e. the sum of the total amount of all transactions, across all asset types, opened by clients within the relevant reporting period). To include N/A as relevant, depending on the services provided. ","Type(s) of financial instruments provided\n(in case where different types of financial instruments were provided, please indicate all the applicable ones. The selection allows multiple choices)"]
[null,null,"Investment Services and Activities as per Section A of Annex 1 of MiFID II",null,null,null,null,null,null,null,"Ancillary Services as per Section B of Annex I of MiFID II"]
[null,null,"Reception and Transmission of Orders ","Execution of orders on behalf of clients","Dealing on Own Account","Portfolio Management ","Investment Advice","Underwriting / placing of instruments on a firm commitment basis","Placing of Instruments without a firm commitment basis","Operation of a Multilateral Trading Facility ","Safekeeping and Administration of Financial Instruments ","Granting of credits or loans to an investor ","Advice to undertakings on capital Structure, Industrial Strategy and related Matters","Foreign Exchange Services ","Investment Research and Financial Analysis ","Services Related to Undertakings","Investment and Ancillary Services relating to the underlying of certain derivatives"]
["Austria"]
["Belgium"]
["Bulgaria"]
["Croatia"]
["Cyprus"]
["Czech Republic"]
["Denmark"]
["Estonia"]
["Finland"]
["France"]
["Germany"]
["Greece"]
["Hungary"]
["Iceland"]
["Ireland"]
["Italy"]
["Latvia"]
["Liechtenstein"]
["Lithuania"]
["Luxembourg"]
["Netherlands"]
["Norway"]
["Poland"]
["Portugal"]
["Romania"]
["Slovakia"]
["Slovenia"]
["Spain"]
["Sweden"]
["Total",null,{"$f":"SUM(C45:C73)","v":0},0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
[]
["Eligible Counterparties"]
["Residence","Total number of clients per jurisdiction","Breakdown for investment services",null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Value of the transactions (kindly include the gross notional volume of all orders, i.e. the sum of the total amount of all transactions, across all asset types, opened by clients within the relevant reporting period). To include N/A as relevant, depending on the services provided. ","Type(s) of financial instruments provided\n(in case where different types of financial instruments were provided, please indicate all the applicable ones. The selection allows multiple choices)"]
[null,null,"Investment Services and Activities as per Section A of Annex 1 of MiFID II",null,null,null,null,null,null,null,"Ancillary Services as per Section B of Annex I of MiFID II"]
[null,null,"Reception and Transmission of Orders ","Execution of orders on behalf of clients","Dealing on Own Account","Portfolio Management ","Investment Advice","Underwriting / placing of instruments on a firm commitment basis","Placing of Instruments without a firm commitment basis","Operation of a Multilateral Trading Facility ","Safekeeping and Administration of Financial Instruments ","Granting of credits or loans to an investor ","Advice to undertakings on capital Structure, Industrial Strategy and related Matters","Foreign Exchange Services ","Investment Research and Financial Analysis ","Services Related to Undertakings","Investment and Ancillary Services relating to the underlying of certain derivatives"]
["Austria"]
["Belgium"]
["Bulgaria"]
["Croatia"]
["Cyprus"]
["Czech Republic"]
["Denmark"]
["Estonia"]
["Finland"]
["France"]
["Germany"]
["Greece"]
["Hungary"]
["Iceland"]
["Ireland"]
["Italy"]
["Latvia"]
["Liechtenstein"]
["Lithuania"]
["Luxembourg"]
["Netherlands"]
["Norway"]
["Poland"]
["Portugal"]
["Romania"]
["Slovakia"]
["Slovenia"]
["Spain"]
["Sweden"]
["Total",null,{"$f":"SUM(C80:C108)","v":0},0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
[]
["All Clients"]
["Residence","Total number of clients per jurisdiction","Breakdown for investment services",null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Value of the transactions (kindly include the gross notional volume of all orders, i.e. the sum of the total amount of all transactions, across all asset types, opened by clients within the relevant reporting period). To include N/A as relevant, depending on the services provided. "]
[null,null,"Investment Services and Activities as per Section A of Annex 1 of MiFID II",null,null,null,null,null,null,null,"Ancillary Services as per Section B of Annex I of MiFID II"]
[null,null,"Reception and Transmission of Orders ","Execution of orders on behalf of clients","Dealing on Own Account","Portfolio Management ","Investment Advice","Underwriting / placing of instruments on a firm commitment basis","Placing of Instruments without a firm commitment basis","Operation of a Multilateral Trading Facility ","Safekeeping and Administration of Financial Instruments ","Granting of credits or loans to an investor ","Advice to undertakings on capital Structure, Industrial Strategy and related Matters","Foreign Exchange Services ","Investment Research and Financial Analysis ","Services Related to Undertakings","Investment and Ancillary Services relating to the underlying of certain derivatives"]
["Austria",{"$f":"SUM(B10,B45,B80)","v":0},{"$f":"SUM(C10,C45,C80)","v":0},0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Belgium",{"$f":"SUM(B11,B46,B81)","v":0},0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Bulgaria",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Croatia",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Cyprus",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Czech Republic",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Denmark",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Estonia",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Finland",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["France",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Germany",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Greece",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Hungary",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Iceland",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Ireland",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Italy",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Latvia",0,{"$f":"SUM(C26,C61,C96)","v":0},0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Liechtenstein",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Lithuania",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Luxembourg",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Netherlands",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Norway",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Poland",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Portugal",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Romania",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Slovakia",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Slovenia",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Spain",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Sweden",0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]
["Total",{"$f":"SUM(B115:B143)","v":0},{"$f":"SUM(C115:C143)","v":0},0,0,0,0,0,0,0,0,0,0,0,0,0,0,0]

{"sheet":"A - Retail Investor Trends","index":4,"n_rows":76,"n_cols":13,"rows_kept":76,"cut":false,"hidden":false,"merged":[[71,0,71,9],[50,0,50,9],[52,0,52,9],[65,0,65,9],[66,0,66,9],[68,0,68,5],[70,0,70,9],[48,0,48,5],[29,0,29,6],[36,0,36,5],[37,0,37,5],[38,0,38,5],[39,0,39,5],[40,0,40,5],[42,0,42,9],[44,0,44,5],[45,0,45,5],[46,0,46,5],[47,0,47,5],[23,0,23,6],[0,0,0,10],[2,0,2,9],[6,0,6,7],[7,0,7,7],[21,0,21,9]]}
["Retail Investor Trends Survey"]
[]
["Kindly refer to the Glossary available on our website for further information regarding certain terms used in this survey."]
[]
["1. Have you provided products and/or services to retail clients over the reporting quarter? ",null,null,null,null,null,{"$f":"IF(F5=\"\",0,1)","v":0},null,null,null,null,null,1]
[]
["2. Which of the following products and/or services did you provide to retail clients?"]
["\"Demand\" can be taken to be the value of net flows by retail investors into a given asset class, if such information is available."]
[]
[null,"Percentage (%)"]
["Shares",null,{"$f":"IF(OR(AND(B11=\"\", SUM($B$11:$B$19)<1), SUM($B$11:$B$19)>1), 0,1)","v":0},null,null,null,null,null,null,null,null,null,2]
["Bonds",null,0,null,null,null,null,null,null,null,null,null,2]
["Structured securities",null,0,null,null,null,null,null,null,null,null,null,2]
["Money-market securities",null,0,null,null,null,null,null,null,null,null,null,2]
["Units in collective investment undertakings",null,0,null,null,null,null,null,null,null,null,null,2]
["Derivatives (options, futures, etc.)",null,0,null,null,null,null,null,null,null,null,null,2]
["CFDs",null,0,null,null,null,null,null,null,null,null,null,2]
["ETFs",null,0,null,null,null,null,null,null,null,null,null,2]
["Other Financial Instruments",null,0,null,null,null,null,null,null,null,null,null,2]
[]
["2.1. Kindly provide us with the names of products if the ‘Other financial instruments’ field was chosen in question 2 above:"]
[null,null,null,null,null,null,null,null,null,null,null,null,2.1]
[]
["3.  Which of the below investment services do you provide to your retail clients. Kindly mark with an \"Yes\", \"No\" or \"N/A\" as appropriate."]
[]
["Non-Advisory",null,null,null,null,null,null,null,null,null,null,null,3]
["Advisory",null,null,null,null,null,null,null,null,null,null,null,3]
["Wealth/portfolio management",null,null,null,null,null,null,null,null,null,null,null,3]
[]
["3.1. How have retail clients' demand for the following distribution channels changed (by annual volume of sales)  over the observed quarter when compared to the previous quarter? Kindly mark with an \"X\" as appropriate."]
[]
[null,"Increased significantly","Increased","Remained unchanged","Decreased","Decreased significantly"]
["Non-Advisory",null,null,null,null,null,null,null,null,null,null,null,3.1]
["Advisory",null,null,null,null,null,null,null,null,null,null,null,3.1]
["Wealth/portfolio management",null,null,null,null,null,null,null,null,null,null,null,3.1]
[]
["3.1.1. What are the reasons for the increases in retail investors’ demand for distribution channel marked as “increased/increased significantly” in Question 3.1. above."]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.1"]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.1"]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.1"]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.1"]
[]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.1"]
[]
["3.1.2. What are the reasons for the decreases in retail investors’ demand for distribution channel marked as “decreased/decreased significantly” in Question 3.1. above."]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.2"]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.2"]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.2"]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.2"]
[]
[null,null,null,null,null,null,null,null,null,null,null,null,"3.1.2"]
[]
["4. Kindly indicate which method of communication and/or media channel are being used to promote the financial instruments mentioned in Question 2 to Retail Clients.\nKindly mark with an X all communication methods used for each financial instrument."]
[]
[null,"Shares","Bonds","Structured securities","Money-market securities","Units in collective investment undertakings","Derivatives (options, futures, etc.)","CFDs","ETFs","Other Financial Instruments"]
["Newspaper",null,null,null,null,null,null,null,null,null,null,null,4]
["Facebook",null,null,null,null,null,null,null,null,null,null,null,4]
["Twitter",null,null,null,null,null,null,null,null,null,null,null,4]
["Instagram",null,null,null,null,null,null,null,null,null,null,null,4]
["TikTok",null,null,null,null,null,null,null,null,null,null,null,4]
["YouTube",null,null,null,null,null,null,null,null,null,null,null,4]
["LinkedIn",null,null,null,null,null,null,null,null,null,null,null,4]
["Emails/Newsletters to clients",null,null,null,null,null,null,null,null,null,null,null,4]
["Others (please specify)",null,null,null,null,null,null,null,null,null,null,null,4]
[]
["4.1. Kindly provide us with the name of the product and/or the name of the method of communication and/or media channel if ‘Other' field was chosen in question 4 above."]
[null,null,null,null,null,null,null,null,null,null,null,null,4.0999999999999996]
[]
["5. Kindly indicate the percentage of retail clients onboarded through digital means (i.e. non face-to-face basis). ",null,null,null,null,null,null,null,null,null,null,null,5]
[]
["6. What makes you market these products to retail investors?"]
[null,null,null,null,null,null,null,null,null,null,null,null,6]
[]
["7. Kindly provide the number of Retail Investors whose portfolio is less than €20,000",null,null,null,null,null,null,null,null,null,null,null,7]
[]
["7.1. Kindly indicate the aggregate portfolio value corresponding to the retail investors provided in question 7",null,null,null,null,null,null,null,null,null,null,null,7.1]

{"sheet":"A - Complaints","index":5,"n_rows":74,"n_cols":11,"rows_kept":74,"cut":false,"hidden":false,"merged":[[73,0,73,1],[73,2,73,7],[58,0,58,1],[59,0,59,1],[60,0,60,1],[63,0,63,1],[65,0,65,1],[65,2,65,7],[67,0,68,1],[67,2,67,5],[69,0,69,1],[70,0,70,1],[71,0,71,1],[57,0,57,1],[33,0,45,0],[47,0,47,1],[47,2,47,7],[48,0,48,1],[48,2,48,7],[50,0,50,1],[50,2,50,7],[52,0,53,1],[52,2,52,5],[54,0,54,1],[55,0,55,1],[56,0,56,1],[25,0,32,0],[0,0,0,8],[4,0,5,1],[4,2,4,5],[6,0,16,0],[17,0,24,0]]}
["Complaints Survey"]
[null,null,null,null,null," "]
["Kindly refer to the Glossary available on our website for further information regarding certain terms used in this survey. Please note that the total number of complaints between table 1 and 2 must tally."]
[]
["1 - Number of complaints by complaint cause",null,"Number of New Complaints received during the current reporting quarter"]
[null,null,"From clients residing in Malta","From clients residing in EU/EEA outside Malta. Please also include the complaints received from clients serviced by EU/EEA branches","From clients residing in the rest of the world (excluding EU/EEA)","Total number of complaints received during the current reporting period","Number of Unresolved Complaints from the previous reporting quarters","Number of complaints referred to the Office of the Arbiter for Financial Services during the reporting period"]
["Execution of orders on behalf of clients / Reception and transmission of orders","Quality or lack of information provided to the client",null,null,null,{"$f":"SUM(C7:E7)","v":0},null,null,null,null,1]
[null,"Lack of appropriatness for the client",null,null,null,{"$f":"SUM(C8:E8)","v":0},null,null,null,null,1]
[null,"Terms of contract/fees/charges",null,null,null,0,null,null,null,null,1]
[null,"General admin/customer services (including custody/safekeeping services)",null,null,null,0,null,null,null,null,1]
[null,"Issue in relation to withdrawal of investor's funds",null,null,null,0,null,null,null,null,1]
[null,"ESG related",null,null,null,0,null,null,null,null,1]
[null,"              Of which: Greenwashing",null,null,null,0,null,null,null,null,1]
[null,"Other, of which: ",{"$f":"SUM(C15:C17)","v":0},{"$f":"SUM(D15:D17)","v":0},{"$f":"SUM(E15:E17)","v":0},0,{"$f":"SUM(G15:G17)","v":0},{"$f":"SUM(H15:H17)","v":0},null,null,1]
[null,"              Incorrect trade execution/Non triggered trading order",null,null,null,0,null,null,null,null,1]
[null,"              Issue in relation to slippage of prices",null,null,null,0,null,null,null,null,1]
[null,"              None of the above (please specify in comments section below)",null,null,null,0,null,null,null,null,1]
["Portfolio management","Quality or lack of information provided to the client",null,null,null,0,null,null,null,null,1]
[null,"Lack of suitability for the client",null,null,null,0,null,null,null,null,1]
[null,"Terms of contract/fees/charges",null,null,null,0,null,null,null,null,1]
[null,"General admin/customer services (including custody/safekeeping services)",null,null,null,0,null,null,null,null,1]
[null,"Issue in relation to withdrawal of investor's funds",null,null,null,0,null,null,null,null,1]
[null,"ESG Related",null,null,null,0,null,null,null,null,1]
[null,"              Of which: Greenwashing",null,null,null,0,null,null,null,null,1]
[null,"Other (please specify in comments section below)",null,null,null,0,null,null,null,null,1]
["Investment advice ","Quality or lack of information provided to the client",null,null,null,0,null,null,null,null,1]
[null,"Lack of suitability for the client",null,null,null,0,null,null,null,null,1]
[null,"Terms of contract/fees/charges",null,null,null,0,null,null,null,null,1]
[null,"General admin/customer services (including custody/safekeeping services)",null,null,null,0,null,null,null,null,1]
[null,"Issue in relation to withdrawal of investor's funds",null,null,null,0,null,null,null,null,1]
[null,"ESG related",null,null,null,0,null,null,null,null,1]
[null,"              Of which: Greenwashing",null,null,null,0,null,null,null,null,1]
[null,"Other (please specify in comments section below)",null,null,null,0,null,null,null,null,1]
["Complaint not related to a specific MiFID service","Quality or lack of information provided to the client",null,null,null,0,null,null,null,null,1]
[null,"Terms of contract/fees/charges",null,null,null,0,null,null,null,null,1]
[null,"General admin/customer services (including custody/safekeeping services)",null,null,null,0,null,null,null,null,1]
[null,"Unauthorised business being offered or carried out",null,null,null,0,null,null,null,null,1]
[null,"Complaints from clients of group's entity (not regulated by MFSA)",null,null,null,0,null,null,null,null,1]
[null,"Issue in relation to withdrawal of investor's funds",null,null,null,0,null,null,null,null,1]
[null,"ESG related",null,null,null,0,null,null,null,null,1]
[null,"              Of which: Greenwashing",null,null,null,0,null,null,null,null,1]
[null,"Other, of which: ",{"$f":"SUM(C43:C46)","v":0},{"$f":"SUM(D43:D46)","v":0},{"$f":"SUM(E43:E46)","v":0},0,{"$f":"SUM(G43:G46)","v":0},{"$f":"SUM(H43:H46)","v":0},null,null,1]
[null,"              Issue related to trading platform (not related to trading)",null,null,null,0,null,null,null,null,1]
[null,"              Dividend payment ",null,null,null,0,null,null,null,null,1]
[null,"              Charges related to funds deposit/withdrawal",null,null,null,0,null,null,null,null,1]
[null,"              None of the above (please specify in comments section below)",null,null,null,0,null,null,null,null,1]
["Total",null,{"$f":"SUM(C7:C12,C14, C18:C23,C25:C31,C33:C40,C42)","v":0},{"$f":"SUM(D7:D12,D14, D18:D23,D25:D31,D33:D40,D42)","v":0},0,0,0,0,null,null,1]
["1.1. Please provide additional information on the nature of all the complaints reported under \"ESG related\".",null,null,null,null,null,null,null,null,null,1]
["1.2. Please provide information on all of the complaints reported under \"Other\" or \"None of the above\" and include any relevant information that can help explain the numbers.",null,null,null,null,null,null,null,null,null,1]
[]
["Kindly include indication of the top 3 countries (outside Malta) where the complaints were received during the reporting period. ",null,null,null,null,null,null,null,null,null,1]
[]
["2 - Number of complaints by financial instruments",null,"Number of New Complaints received during the current reporting quarter"]
[null,null,"From clients residing in Malta","From clients residing in EU/EEA outside Malta. Please also include the complaints received from clients serviced by EU/EEA branches","From clients residing in the rest of the world (excluding EU/EEA)","Total number of complaints received during the current reporting period","Number of Unresolved Complaints from the previous reporting quarters","Number of complaints referred to the Office of the Arbiter for Financial Services during the reporting period"]
["Shares/stock/equities",null,null,null,null,{"$f":"SUM(C55:E55)","v":0},null,null,null,null,2]
["Bonds/debentures/loan stock/debt securities",null,null,null,null,{"$f":"SUM(C56:E56)","v":0},null,null,null,null,2]
["Structured securities (including securities with capital protection and structured funds)",null,null,null,null,0,null,null,null,null,2]
["Money-market securities",null,null,null,null,0,null,null,null,null,2]
["UCITS/AIFs/Other funds (excluding structured funds)",null,null,null,null,0,null,null,null,null,2]
["Options, futures, swaps, warrants, forward rate agreements and any other derivatives",null,null,null,null,0,null,null,null,null,2]
["Financial contracts for differences (CFDs)",null,null,null,null,0,null,null,null,null,2]
["ETFs",null,null,null,null,0,null,null,null,null,2]
["Not related to a specific financial instruments",null,null,null,null,0,null,null,null,null,2]
["Other investment products/funds (please specify in comments section below)",null,null,null,null,0,null,null,null,null,2]
["Total",null,{"$f":"SUM(C55:C64)","v":0},0,0,0,0,0,null,null,2]
["Please provide information on the \"Other investment products/funds\" and include any relevant information that can help explain the numbers",null,null,null,null,null,null,null,null,null,2]
[]
["3 - Number of complaints involving crypto assets/ICOs",null,"Number of New Complaints received during the current reporting quarter"]
[null,null,"From clients residing in Malta","From clients residing in EU/EEA outside Malta. Please also include the complaints received from clients serviced by EU/EEA branches","From clients residing in the rest of the world (excluding EU/EEA)","Total number of complaints received during the current reporting period","Number of Unresolved Complaints from the previous reporting quarters","Number of complaints referred to the Office of the Arbiter for Financial Services during the reporting period"]
["Complaints involving crypto assets / ICOs",null,null,null,null,{"$f":"SUM(C70:E70)","v":0},null,null,null,null,3]
["                 of which: complaints involving CFDs on cryptocurrencies",null,null,null,null,{"$f":"SUM(C71:E71)","v":0},null,null,null,null,3]
["Complaints not involving crypto assets / ICOs",null,null,null,null,{"$f":"SUM(C72:E72)","v":0},null,null,null,null,3]
["Total",null,{"$f":"C70+C72","v":0},{"$f":"D70+D72","v":0},{"$f":"E70+E72","v":0},{"$f":"SUM(F70:F72)","v":0},{"$f":"SUM(G70:G72)","v":0},{"$f":"SUM(H70:H72)","v":0},null,null,3]
["Please include any relevant information that can help explain the numbers",null,null,null,null,null,null,null,null,null,3]

{"sheet":"A - Office of the Arbiter","index":6,"n_rows":57,"n_cols":13,"rows_kept":57,"cut":false,"hidden":false,"merged":[[53,2,53,4],[54,2,54,4],[55,2,55,4],[56,2,56,4],[47,2,47,4],[48,2,48,4],[49,2,49,4],[50,2,50,4],[51,2,51,4],[52,2,52,4],[46,2,46,4],[35,2,35,4],[36,2,36,4],[37,2,37,4],[38,2,38,4],[39,2,39,4],[40,2,40,4],[41,2,41,4],[42,2,42,4],[43,2,43,4],[44,2,44,4],[45,2,45,4],[34,2,34,4],[23,2,23,4],[24,2,24,4],[25,2,25,4],[26,2,26,4],[27,2,27,4],[28,2,28,4],[29,2,29,4],[30,2,30,4],[31,2,31,4],[32,2,32,4],[33,2,33,4],[22,2,22,4],[11,2,11,4],[12,2,12,4],[13,2,13,4],[14,2,14,4],[15,2,15,4],[16,2,16,4],[17,2,17,4],[18,2,18,4],[19,2,19,4],[20,2,20,4],[21,2,21,4],[10,2,10,4],[0,0,1,10],[6,2,6,4],[7,2,7,4],[8,2,8,4],[9,2,9,4]]}
["Office of the Arbiter for Financial Services Survey"]
[]
[]
[null,null,"Please provide details of the",null,{"$f":"'A - Complaints'!H47","v":0},"complaints referred to the Office of the Financial Services Arbiter in the table below."]
[null,null,"In addition please also provide details of unresolved complaints (pending from previous quarters, during current year) referred to the Office of the Financial Services Arbiter and which were resolved during the reporting quarter.  "]
[]
[null,"Complaint Number","Date of Referral to the Arbiter",null,null,"Details of the Nature of the Complaint","Resolved / Unresolved (during the current reporting quarter)","Manner of Resolution","Details of Resolution (including any decisions taken by the Office of the Financial Services Arbiter and/or of any settlement agreement between the parties)","Appeals lodged from Arbiters decision","Details of any appeals lodged"]
[null,{"$f":"1","v":1},null,null,null,null,null,null,null,null,null,null,1]
[null,{"$f":"SUM(B8+1)","v":2},null,null,null,null,null,null,null,null,null,null,1]
[null,3,null,null,null,null,null,null,null,null,null,null,1]
[null,4,null,null,null,null,null,null,null,null,null,null,1]
[null,5,null,null,null,null,null,null,null,null,null,null,1]
[null,6,null,null,null,null,null,null,null,null,null,null,1]
[null,7,null,null,null,null,null,null,null,null,null,null,1]
[null,8,null,null,null,null,null,null,null,null,null,null,1]
[null,9,null,null,null,null,null,null,null,null,null,null,1]
[null,10,null,null,null,null,null,null,null,null,null,null,1]
[null,11,null,null,null,null,null,null,null,null,null,null,1]
[null,12,null,null,null,null,null,null,null,null,null,null,1]
[null,13,null,null,null,null,null,null,null,null,null,null,1]
[null,14,null,null,null,null,null,null,null,null,null,null,1]
[null,15,null,null,null,null,null,null,null,null,null,null,1]
[null,16,null,null,null,null,null,null,null,null,null,null,1]
[null,17,null,null,null,null,null,null,null,null,null,null,1]
[null,18,null,null,null,null,null,null,null,null,null,null,1]
[null,19,null,null,null,null,null,null,null,null,null,null,1]
[null,20,null,null,null,null,null,null,null,null,null,null,1]
[null,21,null,null,null,null,null,null,null,null,null,null,1]
[null,22,null,null,null,null,null,null,null,null,null,null,1]
[null,23,null,null,null,null,null,null,null,null,null,null,1]
[null,24,null,null,null,null,null,null,null,null,null,null,1]
[null,25,null,null,null,null,null,null,null,null,null,null,1]
[null,26,null,null,null,null,null,null,null,null,null,null,1]
[null,27,null,null,null,null,null,null,null,null,null,null,1]
[null,28,null,null,null,null,null,null,null,null,null,null,1]
[null,29,null,null,null,null,null,null,null,null,null,null,1]
[null,30,null,null,null,null,null,null,null,null,null,null,1]
[null,31,null,null,null,null,null,null,null,null,null,null,1]
[null,32,null,null,null,null,null,null,null,null,null,null,1]
[null,33,null,null,null,null,null,null,null,null,null,null,1]
[null,34,null,null,null,null,null,null,null,null,null,null,1]
[null,35,null,null,null,null,null,null,null,null,null,null,1]
[null,36,null,null,null,null,null,null,null,null,null,null,1]
[null,37,null,null,null,null,null,null,null,null,null,null,1]
[null,38,null,null,null,null,null,null,null,null,null,null,1]
[null,39,null,null,null,null,null,null,null,null,null,null,1]
[null,40,null,null,null,null,null,null,null,null,null,null,1]
[null,41,null,null,null,null,null,null,null,null,null,null,1]
[null,42,null,null,null,null,null,null,null,null,null,null,1]
[null,43,null,null,null,null,null,null,null,null,null,null,1]
[null,44,null,null,null,null,null,null,null,null,null,null,1]
[null,45,null,null,null,null,null,null,null,null,null,null,1]
[null,46,null,null,null,null,null,null,null,null,null,null,1]
[null,47,null,null,null,null,null,null,null,null,null,null,1]
[null,48,null,null,null,null,null,null,null,null,null,null,1]
[null,49,null,null,null,null,null,null,null,null,null,null,1]
[null,50,null,null,null,null,null,null,null,null,null,null,1]

{"sheet":"A - Online & Social Presence","index":7,"n_rows":54,"n_cols":15,"rows_kept":54,"cut":false,"hidden":false,"merged":[[0,0,1,13],[5,0,5,12],[31,0,31,12]]}
["Online & Social media Presence"]
[]
[]
["Website"]
[]
["1. Kindly disclose the up-to-date firm’s website link(s) which are utilised to provide information to clients and potential clients about the firm’s products and services.  Furthermore, kindly indicate the identified jurisdiction and target audience (e.g. specific category of clients) which the website(s) is/are intended for."]
[]
[null,"Link",null,"Target audience",null,"Jurisdiction(s)",null,"Language(s) used"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[]
["Social media"]
[]
["2. Kindly disclose the up-to-date firm’s links to any social media pages.  Social media includes but is not limited to: websites, microblogs (e.g. Twitter), social and professional networks (such as Facebook and LinkedIn), forums, image and video-sharing platforms (YouTube, Instagram, TikTok). Furthermore, kindly indicate the identified jurisdiction and target audience (e.g. specific category of clients) which the disclosed social media pages are intended for."]
[]
[null,"Link",null,"Social media",null,"Target audience",null,"Jurisdiction(s)",null,"Language(s) used"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]

{"sheet":"A - Branches","index":8,"n_rows":49,"n_cols":12,"rows_kept":49,"cut":false,"hidden":false,"merged":[[45,0,45,5],[48,0,52,9],[0,0,0,8],[2,0,2,5],[5,0,5,8],[38,0,38,8],[39,0,43,9]]}
["Branches"]
[]
["1. Does the licence holder have Branches in other EU Member States?",null,null,null,null,null,null,null,null,null,null,1]
[]
[]
["2. If yes, kindly indicate the jurisdictions where these Branches are situated across EU Member States. Kindly indicate with X under column B where the branches are located. "]
[]
["Jurisdiction",null,null,"Number of clients serviced",null,"Number of employees",null,"Has the branch serviced clients residing outside of the said jurisdiction? "]
["Austria",null,null,null,null,null,null,null,null,null,null,2]
["Belgium",null,null,null,null,null,null,null,null,null,null,2]
["Bulgaria",null,null,null,null,null,null,null,null,null,null,2]
["Croatia",null,null,null,null,null,null,null,null,null,null,2]
["Cyprus",null,null,null,null,null,null,null,null,null,null,2]
["Czech Republic",null,null,null,null,null,null,null,null,null,null,2]
["Denmark",null,null,null,null,null,null,null,null,null,null,2]
["Estonia",null,null,null,null,null,null,null,null,null,null,2]
["Finland",null,null,null,null,null,null,null,null,null,null,2]
["France",null,null,null,null,null,null,null,null,null,null,2]
["Germany",null,null,null,null,null,null,null,null,null,null,2]
["Greece",null,null,null,null,null,null,null,null,null,null,2]
["Hungary",null,null,null,null,null,null,null,null,null,null,2]
["Iceland",null,null,null,null,null,null,null,null,null,null,2]
["Ireland",null,null,null,null,null,null,null,null,null,null,2]
["Italy",null,null,null,null,null,null,null,null,null,null,2]
["Latvia",null,null,null,null,null,null,null,null,null,null,2]
["Liechtenstein",null,null,null,null,null,null,null,null,null,null,2]
["Lithuania",null,null,null,null,null,null,null,null,null,null,2]
["Luxembourg",null,null,null,null,null,null,null,null,null,null,2]
["Netherlands",null,null,null,null,null,null,null,null,null,null,2]
["Norway",null,null,null,null,null,null,null,null,null,null,2]
["Poland",null,null,null,null,null,null,null,null,null,null,2]
["Portugal",null,null,null,null,null,null,null,null,null,null,2]
["Romania",null,null,null,null,null,null,null,null,null,null,2]
["Slovakia",null,null,null,null,null,null,null,null,null,null,2]
["Slovenia",null,null,null,null,null,null,null,null,null,null,2]
["Spain",null,null,null,null,null,null,null,null,null,null,2]
["Sweden",null,null,null,null,null,null,null,null,null,null,2]
[]
["2.1 If any of the branches serviced clients outside the said jurisdiction, please provide more information (e.g. the jurisdictions where clients serviced reside). "]
[null,null,null,null,null,null,null,null,null,null,null,2.1]
[]
[]
[]
[]
[]
["3. Was there any interaction between the branch and the National Competence Authority of the Host Member State in relation to any conduct related matter?",null,null,null,null,null,null,null,null,null,null,3]
[]
["3.1 If yes, please provide more details on the matter. "]
[null,null,null,null,null,null,null,null,null,null,null,3.1]

{"sheet":"A - Additional Details","index":9,"n_rows":310,"n_cols":27,"rows_kept":310,"cut":false,"hidden":false,"merged":[[299,1,299,3],[300,1,300,3],[301,1,301,3],[298,1,298,3],[278,0,278,13],[282,0,282,15],[285,0,285,13],[289,0,289,17],[291,1,291,3],[292,1,292,3],[293,1,293,3],[294,1,294,3],[295,1,295,3],[296,1,296,3],[297,1,297,3],[45,0,50,5],[0,0,1,18],[5,0,5,13],[7,7,7,11],[7,13,7,17],[9,1,9,3],[14,1,14,3],[28,0,28,13],[30,7,30,11],[19,1,20,3],[24,1,25,3]]}
["Additional details "]
[]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Afghanistan"]
["Number of accounts and clients",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Åland"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Albania"]
["1. Kindly indicate below the number of accounts and the Value in Euro of the assets at the end of the reporting period.",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Algeria"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"American Samoa"]
[null,null,null,null,null,null,null,"Number of accounts",null,null,null,null,null,"Value in Euro of assets",null,null,null,null,null,null,null,null,null,null,null,null,"Andorra"]
[null,null,null,null,null,null,null,"Resident in Malta",null,"Resident in the rest of EU/EEA",null,"Resident in the rest of the world",null,"Resident in Malta",null,"Resident in the rest of EU/EEA",null,"Resident in the rest of the world",null,null,null,null,null,null,null,null,"Angola"]
[null,"of which under Nominee: ",null,null,null,"Retail",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Anguilla"]
[null,null,null,null,null,"Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Antarctica"]
[null,null,null,null,null,"     of which CISs",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Antigua and Barbuda"]
[null,null,null,null,null,"Elective Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Argentina"]
[null,null,null,null,null,"Eligible Counterparty",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Armenia"]
[null,"of which non Nominee: ",null,null,null,"Retail",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Australia"]
[null,null,null,null,null,"Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Azerbaijan"]
[null,null,null,null,null,"      of which CISs",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Bahamas"]
[null,null,null,null,null,"Elective Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Bahrain"]
[null,null,null,null,null,"Eligible Counterparty",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Bangladesh"]
[null,"of which Discretionary Portfolio Management:",null,null,null,"Retail",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Barbados"]
[null,null,null,null,null,"Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Belarus"]
[null,null,null,null,null,"      of which CISs",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Belize"]
[null,null,null,null,null,"Elective Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Benin"]
[null,null,null,null,null,"Eligible Counterparty",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Bermuda"]
[null,"of which Management of CISs:",null,null,null,"UCITS",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Bhutan"]
[null,null,null,null,null,"Non-UCITS Retail",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Bolivia"]
[null,null,null,null,null,"Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,1,null,null,null,null,null,null,"Bosnia and Herzegovina"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Botswana"]
["1.1 Kindly indicate below the number of clients as at the end of the reporting period.",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Brazil"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Brunei"]
[null,null,null,null,null,null,null,"Number of Clients",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Burkina Faso"]
[null,null,null,null,null,null,null,"Resident in Malta",null,"Resident in the rest of EU/EEA",null,"Resident in the rest of the world",null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Burundi"]
[null,null,"All clients:",null,null,"Retail",null,null,null,null,null,null,null,null,null,null,null,null,null,"1.1.1",null,null,null,null,null,null,"Cabo Verde"]
[null,null,null,null,null,"Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,"1.1.1",null,null,null,null,null,null,"Cambodia"]
[null,null,null,null,null,"Elective Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,"1.1.1",null,null,null,null,null,null,"Canada"]
[null,null,null,null,null,"Eligible Counterparty",null,null,null,null,null,null,null,null,null,null,null,null,null,"1.1.1",null,null,null,null,null,null,"Cayman Islands"]
[null,null,null,null,null,"Total",null,{"$f":"SUM(H33:H36)","v":0},null,{"$f":"SUM(J33:J36)","v":0},null,{"$f":"SUM(L33:L36)","v":0},null,null,null,null,null,null,null,"1.1.1",null,null,null,null,null,null,"Central African Republic"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Chad"]
[null,null,"Of which active:",null,null,"Retail",null,null,null,null,null,null,null,null,null,null,null,null,null,"1.1.2",null,null,null,null,null,null,"Chile"]
[null,null,null,null,null,"Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,"1.1.2",null,null,null,null,null,null,"China"]
[null,null,null,null,null,"Elective Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,"1.1.2",null,null,null,null,null,null,"Colombia"]
[null,null,null,null,null,"Eligible Counterparty",null,null,null,null,null,null,null,null,null,null,null,null,null,"1.1.2",null,null,null,null,null,null,"Comoros"]
[null,null,null,null,null,"Total",null,{"$f":"SUM(H39:H42)","v":0},null,{"$f":"SUM(J39:J42)","v":0},null,{"$f":"SUM(L39:L42)","v":0},null,null,null,null,null,null,null,"1.1.2",null,null,null,null,null,null,"Congo"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Cook Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Costa Rica"]
["1.2 If you have serviced clients in jurisdictions located outside the EU/EEA, kindly indicate the jurisdictions and the number of clients resident in the rest of world as reported in Question 1.1.  ",null,null,null,null,null,null,"Jurisdiction in the rest of the world",null,"Total number of retail clients",null,"Total number of professional clients",null,"Total number of elective professional clients",null,"Total number of eligible counterparties",null,null,null,null,null,null,null,null,null,null,"Côte d'Ivoire"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Cuba"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Curaçao"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Djibouti"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Dominica"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Dominican Republic"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"DR Congo"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Ecuador"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Egypt"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"El Salvador"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Equatorial Guinea"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Eritrea"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Eswatini"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Ethiopia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Faeroe Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Falkland Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Fiji"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"French Guiana"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"French Polynesia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Gabon"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Gambia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Georgia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Ghana"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Gibraltar"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Grenada"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Guadeloupe"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Guatemala"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Guernsey"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Guinea"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Guinea-Bissau"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Guyana"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Haiti"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Holy See"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Honduras"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Hong Kong"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"India"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Indonesia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Iran"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Iraq"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Isle of Man"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Israel"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Jamaica"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Japan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Jersey"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Jordan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Kazakhstan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Kenya"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Kiribati"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Kosovo"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Kuwait"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Kyrgyzstan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Laos"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Lebanon"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Lesotho"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Liberia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Libya"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Macao"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Madagascar"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Malawi"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Malaysia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Maldives"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Mali"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Marshall Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Martinique"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Mauritania"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Mauritius"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Mayotte"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Mexico"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Micronesia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Moldova"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Monaco"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Mongolia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Montenegro"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Morocco"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Mozambique"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Myanmar"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Namibia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Nauru"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Nepal"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"New Caledonia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"New Zealand"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Nicaragua"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Niger"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Nigeria"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"North Korea"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"North Macedonia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Oman"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Pakistan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Palau"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Palestine"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Panama"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Papua New Guinea"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Paraguay"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Peru"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Philippines"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Pitcairn Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Puerto Rico"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Qatar"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Réunion"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Russia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Rwanda"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Saint Barthélemy"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Saint Helena, Ascension and Tristan da Cunha"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Saint Kitts and Nevis"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Saint Lucia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Saint Martin"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Saint Vincent and the Grenadines"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Samoa"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"San Marino"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Sao Tome & Principe"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Saudi Arabia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Senegal"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Serbia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Seychelles"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Sierra Leone"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Singapore"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Solomon Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Somalia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"South Africa"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"South Georgia and the South Sandwich Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"South Korea"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"South Sudan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Sri Lanka"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Sudan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Suriname"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Svalbard and Jan Mayen Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Switzerland"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Syria"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Taiwan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Tajikistan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Tanzania"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Thailand"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Timor-Leste"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Togo"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Tonga"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Trinidad and Tobago"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Tunisia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Türkiye"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Turkmenistan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Turks and Caicos Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Tuvalu"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Uganda"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Ukraine"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"United Arab Emirates"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"United Kingdom"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"United States"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Uruguay"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"US Minor Outlying Islands"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Uzbekistan"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Vanuatu"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Venezuela"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Vietnam"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Virgin Islands (British)"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Virgin Islands (U.S.)"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Wallis and Futuna"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Western Sahara"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Yemen"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Zambia"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2,null,null,null,null,null,null,"Zimbabwe"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1.2]
[]
["Employees"]
[]
["2. Kindly indicate the total number of employees as at the end of the reporting period, irrespective of their involvement in the provision of investment services. ",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[null,"of which outsourced",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,2]
[]
[]
["Questions 3 and 4 are only applicable to Investment Firms who utilise Introducing Brokers and/or Affiliates to facilitate the cross-border distribution of financial products. Kindly include N/A in Question 3 if the Company does not make use of Introducing Brokers and/or Affiliates. "]
["Introducing Brokers and/or Affiliates - If the Company did not make use of Introducing Brokers and/or Affiliates, kindly include N/A. "]
[]
["3. Compliance Officer & Executive Directors are requested to confirm that the promotional and marketing material as carried out by the firm’s Introducing Brokers and/or Affiliates is clear, fair and not misleading in accordance with the requirements of MiFID II and is subject to pre-approval and ongoing monitoring by the Firm. If the Company did not make use of Introducing Brokers and/or Affiliates, kindly include N/A. ",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,3]
[]
["Introducing Brokers & Affiliates"]
[]
["4. For the relevant reporting period, kindly disclose the names and websites of the top 10 Introducing Brokers and/or Affiliates which directed the largest client traffic (in terms of numbers of clients onboarded) to the firm. "]
[]
[null,"Name",null,null,null,"Website",null,"Number of retail clients onboarded",null,"Number of professional clients onboarded",null,"Number of elective professional clients onboarded",null,"Number of eligible counterparties onboarded",null,"Total clients onboarded",null,"Number of complaints received"]
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[10,null,null,null,null,null,null,null,null,null,null,null,null,null,null,0,null,null,null,4]
[]
[]
[]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,5]
[]
[]
[]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,6]

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["Financial Details"]
[null,null,null,null,null,null,null,null,null,null,null,0]
[]
[null,"1a. Clients' Money - Retail",null,null,null,null,null,null,null,null,null,"Insert Yes/ No"]
[null,"As at Reporting Date, has the licence holder held or controlled Retail Clients' Money ?",null,null,null,null,null,null,null,null,null,null,null,null,null,"1a",null,null,null,{"$f":"IF(ISBLANK(L5),\"Missing information\", \"\")","v":"Missing information"}]
[null,"If NO, skip section below"]
[]
[null,"Name of Bank",null,null,null,"Account No.",null,"Currency",null,"Equivalent in €"]
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[null,"Total Equivalent in €",null,null,null,null,null,null,null,{"$f":"SUM(J10:J100)","v":0},null,null,null,null,null,"1a",null,null,null,{"$f":"IF(AND(L5=\"YES\", J102=0, ISBLANK(B349)),\"Missing information. If not applicable, kindly indicate in the comments box below.\",\"\")","v":""}]
[]
[null,"Total number of clients pertaining to Total Clients' Money",null,null,null,null,null,null,null,null,null,null,null,null,null,"1a",null,null,null,{"$f":"IF(AND(L5=\"YES\", ISBLANK(L104), ISBLANK(B349)),\"Missing information. If not applicable, kindly indicate in the comments box below.\",\"\")","v":""}]
[]
[]
[null,"1b. Clients' Money - Professional & Elective Professional",null,null,null,null,null,null,null,null,null,"Insert Yes/ No"]
[null,"As at Reporting Date, has the licence holder held or controlled Professional Clients' Money ?",null,null,null,null,null,null,null,null,null,null,null,null,null,"1b",null,null,null,{"$f":"IF(ISBLANK(L108),\"Missing information\", \"\")","v":"Missing information"}]
[null,"If NO, skip section below"]
[]
[null,"Name of Bank",null,null,null,"Account No.",null,"Currency",null,"Equivalent in €"]
[]
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[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
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[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1b"]
[null,"Total Equivalent in €",null,null,null,null,null,null,null,{"$f":"SUM(J113:J205)","v":0},null,null,null,null,null,"1b",null,null,null,{"$f":"IF(AND(L108=\"YES\", J207=0, ISBLANK(B349)),\"Missing information. If not applicable, kindly indicate in the comments box below.\",\"\")","v":""}]
[]
[null,"Total number of clients pertaining to Total Clients' Money",null,null,null,null,null,null,null,null,null,null,null,null,null,"1b",null,null,null,{"$f":"IF(AND(L108=\"YES\", ISBLANK(L209), ISBLANK(B349)),\"Missing information. If not applicable, kindly indicate in the comments box below.\",\"\")","v":""}]
[]
[]
[null,"1c. Clients' Money - Eligible Counterparty",null,null,null,null,null,null,null,null,null,"Insert Yes/ No"]
[null,"As at Reporting Date, has the licence holder held or controlled Eligible Counterparty's' Money ?",null,null,null,null,null,null,null,null,null,null,null,null,null,"1c",null,null,null,{"$f":"IF(ISBLANK(L213),\"Missing information\", \"\")","v":"Missing information"}]
[null,"If NO, skip section below"]
[]
[null,"Name of Bank",null,null,null,"Account No.",null,"Currency",null,"Equivalent in €"]
[]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1c"]
[null,"Total Equivalent in €",null,null,null,null,null,null,null,{"$f":"SUM(J218:J291)","v":0},null,null,null,null,null,"1c",null,null,null,{"$f":"IF(AND(L213=\"YES\", J293=0, ISBLANK($B$349)),\"Missing information. If not applicable, kindly indicate in the comments box below.\",\"\")","v":""}]
[]
[null,"Total number of clients pertaining to Total Clients' Money",null,null,null,null,null,null,null,null,null,null,null,null,null,"1c",null,null,null,{"$f":"IF(AND(L213=\"YES\", ISBLANK(L295), ISBLANK($B$349)),\"Missing information. If not applicable, kindly indicate in the comments box below.\",\"\")","v":""}]
[]
[]
[null,"2. Clients' Instruments",null,null,null,null,null,null,null,null,null,"Insert Yes/ No"]
[null,"As at reporting date, has the licence holder held or controlled Customers' Assets?",null,null,null,null,null,null,null,null,null,null,null,null,null,2,null,null,null,{"$f":"IF(ISBLANK(L299),\"Missing information\", \"\")","v":"Missing information"}]
[]
[null,"Value of Clients' Holdings at end of reporting period:",null,null,null,null,null,null,null,"No. of clients",null,"Total Equivalent in €"]
[null,null,null,null,"Retail",null,null,null,null,null,null,null,null,null,null,2,null,null,null,{"$f":"IF(AND($L$299=\"YES\",OR(ISBLANK(J302),ISBLANK(L302))), \"Missing information. Enter 0 if none apply.\",\"\")","v":""}]
[null,null,null,null,"Professional",null,null,null,null,null,null,null,null,null,null,2,null,null,null,{"$f":"IF(AND($L$299=\"YES\",OR(ISBLANK(J303),ISBLANK(L303))), \"Missing information. Enter 0 if none apply.\",\"\")","v":""}]
[null,null,null,null,null,"of which CISs",null,null,null,null,null,null,null,null,null,2,null,null,null,""]
[null,null,null,null,"Eligible Counterparty",null,null,null,null,null,null,null,null,null,null,2,null,null,null,""]
[null,null,null,null,"Total",null,null,null,null,{"$f":"SUM(J302:J303,J305)","v":0},null,{"$f":"SUM(L302:L303,L305)","v":0},null,null,null,2]
[]
[]
[]
[null,"3. Discretionary Portfolio Management"]
[null,null,null,null,null,null,null,null,null,null,null,"Insert Yes/ No"]
[null,"Does the licence holder provide Discretionary Portfolio Management Services?",null,null,null,null,null,null,null,null,null,null,null,null,null,3,null,null,null,{"$f":"IF(ISBLANK(L312),\"Missing information\", \"\")","v":"Missing information"}]
[]
[]
[null,"Value of AUM at the end of reporting period",null,null,null,null,null,"",null,"",null,""]
[]
[null,null,null,null,null,null,null,null,null,"No. of clients",null," Equivalent in €"]
[]
[null,"    - Retail",null,null,null,null,null,null,null,null,null,null,null,null,null,3,null,null,null,{"$f":"IF(AND($L$312=\"YES\",OR(ISBLANK(J319),ISBLANK(L319))), \"Missing information. Enter 0 if none apply.\",\"\")","v":""}]
[null,"    - Professional",null,null,null,null,null,null,null,null,null,null,null,null,null,3,null,null,null,{"$f":"IF(AND($L$312=\"YES\",OR(ISBLANK(J320),ISBLANK(L320))), \"Missing information. Enter 0 if none apply.\",\"\")","v":""}]
[null,"of which CISs",null,null,null,null,null,null,null,null,null,null,null,null,null,3,null,null,null,""]
[null,"    - Eligible Counterparty",null,null,null,null,null,null,null,null,null,null,null,null,null,3,null,null,null,""]
[]
[null,"Total Value",null,null,null,null,null,null,null,{"$f":"SUM(J319,J320,J322)","v":0},null,{"$f":"SUM(L319:L320,L322)","v":0},null,null,null,3]
[]
[]
[]
[null,"4. Investment Services Activities & Ancillary Services (for each of the below items, pick one of the options)"]
[]
[null,null,null,null,null,null,null,null,null,null,null,"Choose from options"]
[null,"1. Reception and transmission of orders",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,{"$f":"IF(ISBLANK(L331),\"Missing information\", \"\")","v":"Missing information"}]
[null,"2. Execution of orders",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"3. Dealing on own account",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"4. Portfolio management",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"5. Investment advice",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"6. Underwriting or placing on firm commitment",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"7. Placing without firm commitment",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"8. Safekeeping and administration",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"9. Granting credits or loans",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"10. Advice on capital structure",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"11. Foreign exchange services",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"12. Research and financial analysis",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"13. Services related to underwriting",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"14. Investment services regarding certain financial instruments",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[null,"15. Are you licensed to service retail clients?",null,null,null,null,null,null,null,null,null,null,null,null,null,4,null,null,null,"Missing information"]
[]
[null,"5. Other Details"]
[null,"   Input any other details or comments:"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,5]
[]
[]
[]
[null,"6. Net Cash Flow"]
[null,"The net cash flow",null,null,null,null,null,null,null,null,null,null,null,null,null,6,null,null,null,{"$f":"IF(ISBLANK(L354),\"Missing information\", \"\")","v":"Missing information"}]
[]
[null,"7. EBITDA"]
[null,"The earnings before interest, tax, depreciation, and amortisation",null,null,null,null,null,null,null,null,null,null,null,null,null,7,null,null,null,{"$f":"IF(ISBLANK(L357),\"Missing information\", \"\")","v":"Missing information"}]
[]
[]
[null,"Austria",null,"Reception and Transmission of Orders "]
[null,"Belgium",null,"Execution of orders on behalf of clients"]
[null,"Bulgaria",null,"Dealing on Own Account"]
[null,"Croatia",null,"Portfolio Management "]
[null,"Cyprus",null,"Investment Advice"]
[null,"Czech Republic",null,"Underwriting / placing of instruments on a firm commitment basis"]
[null,"Denmark",null,"Placing of Instruments without a firm commitment basis"]
[null,"Estonia",null,"Operation of a Multilateral Trading Facility "]
[null,"Finland",null,"Safekeeping and Administration of Financial Instruments "]
[null,"France",null,"Granting of credits or loans to an investor "]
[null,"Germany",null,"Advice to undertakings on capital Structure, Industrial Strategy and related Matters"]
[null,"Greece",null,"Foreign Exchange Services "]
[null,"Gibraltar",null,"Investment Research and Financial Analysis "]
[null,"Hungary",null,"Services Related to Undertakings"]
[null,"Iceland",null,"Investment and Ancillary Services relating to the underlying of certain derivatives"]
[null,"Ireland"]
[null,"Italy"]
[null,"Latvia"]
[null,"Liechtenstein"]
[null,"Lithuania"]
[null,"Luxembourg"]
[null,"Netherlands"]
[null,"Norway"]
[null,"Poland"]
[null,"Portugal"]
[null,"Romania"]
[null,"Slovakia"]
[null,"Slovenia"]
[null,"Spain"]
[null,"Sweden"]
[null,"UK"]
[]
[]
[]
[]
[]
[]
[null,null,null,"YES"]
[null,null,null,"NO"]
[null,null,null,"N/A"]
[]
[null,null,null,"AUD"]
[null,null,null,"CAD"]
[null,null,null,"CHF"]
[null,null,null,"CHF"]
[null,null,null,"CNY"]
[null,null,null,"DKK"]
[null,null,null,"EUR"]
[null,null,null,"FIM"]
[null,null,null,"GBP"]
[null,null,null,"HKD"]
[null,null,null,"HUF"]
[null,null,null,"MXN"]
[null,null,null,"JPY"]
[null,null,null,"NOK"]
[null,null,null,"NZD"]
[null,"Not Licenced",null,"PLN"]
[null,"Licenced & used",null,"SEK"]
[null,"Licenced & not used",null,"SGD"]
[null,null,null,"TRY"]
[null,null,null,"USD"]
[null,null,null,"ZAR"]

{"sheet":"B - Statement of c. income","index":11,"n_rows":124,"n_cols":17,"rows_kept":124,"cut":false,"hidden":false,"merged":[[123,1,123,10],[0,0,0,12],[70,1,70,5],[71,1,71,5],[117,1,117,10],[120,1,120,10],[104,6,105,6],[4,2,4,9]]}
["Statement of comprehensive income"]
[]
[]
[null,"Revenue","(Activities shall pertain to Section A and B of the list of services and activities and financial instruments in Annex I of MiFID II)"]
[null,null,"Note: Commission and fees not arising from activities licensed in terms of the Investment Services Act should not be included in Sections 1.0 - 15.0 but should be listed in Section 17.0 b) if these are not related to investment services activities.\t "]
[]
[]
[1,"Fees relating to reception and transmission of orders",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L331=\"Licenced & used\",K8=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[2,"Fees relating to execution of orders",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L332=\"Licenced & used\",K12=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[3,"Profit/loss generated by dealing on own account",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L333=\"Licenced & used\",K16=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[4,"Fees relating to portfolio management",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L334=\"Licenced & used\",K20=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[5,"Fees relating to investment advice",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L335=\"Licenced & used\",K24=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[6,"Fees relating to underwriting or placing on firm commitment",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L336=\"Licenced & used\",K28=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[7,"Fees relating to the placing without firm commitment",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L337=\"Licenced & used\",K32=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[8,"Fees generated from safekeeping and administration (Under MiFID II)",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L338=\"Licenced & used\",K36=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[9,"Fees relating to granting credits or loans*",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L339=\"Licenced & used\",K40=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[10,"Fees relating to advice on capital structures",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L340=\"Licenced & used\",K44=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[11,"Fees relating to foreign exchange services",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L341=\"Licenced & used\",K48=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[12,"Fees relating to research and financial analysis",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L342=\"Licenced & used\",K52=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[13,"Fees relating to services related to underwriting",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L343=\"Licenced & used\",K56=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[]
[14,"Fees relating to investment services regarding certain financial instruments",null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(AND('B - Financial Details'!L344=\"Licenced & used\",K60=\"\"),\"Missing information\",\"\")","v":""}]
[]
[]
[15,"Non-ISA related revenue**"]
[]
[]
[16,"Total Revenue",null,null,null,null,null,null,null,null,{"$f":"SUM(K8:K63)","v":0}]
[]
[null,"Operating Expenses"]
[]
[17,"Commissions and fees"]
[17.100000000000001,"a) Commissions and fees that are directly related to the acquisition of gross revenue, derived from investment services activities, paid or payable to third parties",null,null,null,null,0]
[17.2,"b) Other Commissions and fees paid or payable to third parties, not related to investment services activities",null,null,null,null,0,"Total Commissions and Fees",null,null,{"$f":"SUM(G71:G72)","v":0}]
[]
[]
[18,"Exceptional Items of expenditure"]
[18.100000000000001,"a) Allowed by MFSA***",null,null,null,null,0]
[18.2,"b) Other",null,null,null,null,0,"Total Exceptional items",null,null,{"$f":"SUM(G76:G77)","v":0}]
[]
[19,"Total Operating Expenses ",null,null,null,null,null,null,null,null,{"$f":"+K72+K77","v":0}]
[]
[20,"Gross Profit ",null,null,null,null,null,null,null,null,{"$f":"K66-K79","v":0}]
[]
[]
[21,"Administrative Expenses",null,null,null,null,null,null,null,null,0]
[]
[22,"Operating Profit (loss)",null,null,null,null,null,null,null,null,{"$f":"K81-K84","v":0}]
[]
[23,"k) Finance Income",null,null,null,null,0]
[]
[24,"l)  Finance Cost",null,null,null,null,0]
[]
[25,"m) Fair Value through Profit or Loss",null,null,null,null,0]
[]
[26,"Profit (Loss) before tax ",null,null,null,null,null,null,null,null,{"$f":"+K86+G88+G90+G92","v":0}]
[]
[27,"Tax (expense) income",null,null,null,null,null,null,null,null,0]
[]
[28,"Profit (Loss) after tax ",null,null,null,null,null,null,null,null,{"$f":"K94-K96","v":0}]
[]
[]
[29,"Other Comprehensive Income"]
[]
[null,null,null,null,null,null,null,null,null,null,null,null,null,"gain","losses"]
[29.1,"n) Fair value movements on Intangible Assets",null,null,null,null,0,null,null,null,null,null,null,0,0]
[29.2,"o) Gain/Loss on revaluation of available for sale Financial Assets",null,null,null,null,0,null,null,null,null,null,null,0,0]
[null,null,null,null,null,null,null,null,null,null,null,null,null,0,0]
[29.3,"p)  Gain/Loss on revaluation of property",null,null,null,null,0,null,null,null,null,null,null,0,0]
[29.4,"q) Other items of income and expense included in other comprehensive income",null,null,null,null,0,null,null,null,null,null,null,0,0]
[29.5,"r) Tax income/expense relating to components of other comprehensive income",null,null,null,null,0,"Other Comprehensive Income",null,null,{"$f":"+G104+G105+G107+G108+G109","v":0},null,null,0,0]
[null,null,null,null,null,null,null,null,null,null,null,null,null,0,0]
[30,"Total Comprehensive Income",null,null,null,null,null,null,null,null,{"$f":"+K98+K109","v":0}]
[]
[null,null,null,null,null,null,null,null,null,"VALIDATION SHEET 2",0]
[]
[31,"Additonal Details*"]
[]
[31.1,"* Details of credits or loans granted:"]
[31.1]
[]
[31.2,"** Details of 'Non-ISA related revenue':"]
[31.2]
[]
[31.3,"*** Details of 'Exceptional Items of expenditure Allowed by the MFSA':"]
[31.3]

{"sheet":"B - Statement of f. position","index":12,"n_rows":68,"n_cols":13,"rows_kept":68,"cut":false,"hidden":false,"merged":[[0,0,0,10],[66,1,66,9],[67,1,70,9]]}
["Statement of financial position"]
[]
[]
[null,"Assets"]
[null,null,null,null,null,null,"",null,null,""]
[1,"Non-current"]
[1.1000000000000001,"a) Intangible assets",null,null,null,null,0]
[1.2,"b) Property, Plant and Equipment",null,null,null,null,0]
[1.3,"c) Investment Property",null,null,null,null,0,"Total Non-current assets",null,{"$f":"SUM(G7:G9)","v":0}]
[]
[2,"Current Assets"]
["2.1","a) Inventories",null,null,null,null,0]
["2.2","b) Deferred Tax Asset",null,null,null,null,0]
["2.3","c) Financial Instruments - Long Positions",null,null,null,null,0]
["2.4","d) Trading Book Debtors",null,null,null,null,0]
["2.5","e) Non-Trading Book Debtors",null,null,null,null,0]
["2.6","f) Amounts due from group companies**",null,null,null,null,0]
["2.7","g) Amounts due from other connected persons*",null,null,null,null,0]
["2.8","h) Amounts receivable from government bodies",null,null,null,null,0]
["2.9","i) Amounts receivable from financial institutions",null,null,null,null,0]
["2.10","j) Bank and cash balances",null,null,null,null,0]
["2.11","k) Other receivables",null,null,null,null,0,"Total Current Assets",null,{"$f":"SUM(G12:G22)","v":0}]
[]
[9,"Total Assets",null,null,null,null,null,null,null,{"$f":"+J9+J22","v":0},null,null,{"$f":"IF(J24<0,\"Total assets figure is negative\",\"\")","v":""}]
[]
[null,"Equity"]
[]
[3,"Equity and Other Reserves"]
[3.1,"a) Called up ordinary share capital ",null,null,null,null,0]
[3.2,"b) Preference share capital",null,null,null,null,0]
[3.3,"c) Investor Compensation Scheme Reserve",null,null,null,null,0]
[3.4,"d) Share premium account",null,null,null,null,0]
[3.5,"e) Revenue reserves",null,"i) as per the previous year's audited accounts",null,null,0]
[3.6,"e) Revenue reserves",null,"ii) retained profits/ (loss) for the year/ period",null,null,0]
[3.7,"f) Other Comprehensive Income  i) as per the previous year's audited accounts",null,null,null,null,0]
[3.8,"f) Other Comprehensive Income  ii) other comprehensive income for the year/period",null,null,null,null,0]
[3.9,"g) Other reserves",null,null,null,null,0,"Total Equity and other reserves",null,{"$f":"SUM(G29:G37)","v":0},null,null,{"$f":"IF(J37<0,\"Total Equity and other reserves figure is negative.\",\"\")","v":""}]
[]
[4,"Minority Interest",null,null,null,null,null,null,null,0,null,null,{"$f":"IF(J39<0,\"Minority interest figure is negative.\",\"\")","v":""}]
[]
[null,"Liabilities"]
[]
[5,"Non-current"]
[5.0999999999999996,"a) Loans: ","i) subordinated",null,null,null,0]
[5.2,"a) Loans:        ","ii) other",null,null,null,0]
[5.3,"a) Loans:        ","iii) total",null,null,null,{"$f":"+G44+G45","v":0}]
[5.4,"b) Amounts due to group companies**",null,null,null,null,0]
[5.5,"c) Amounts due to other connected persons* ",null,null,null,null,0]
[5.6,"d) Other Payables",null,null,null,null,0,"Total Non-current liabilities",null,{"$f":"SUM(G46:G49)","v":0}]
[]
[6,"Current"]
[6.1,"a) Loans/overdrafts",null,null,null,null,0]
[6.2,"b) Taxation",null,null,null,null,0]
[6.3,"c) Amounts due to group companies**",null,null,null,null,0]
[6.4,"d) Amounts due to other connected persons* ",null,null,null,null,0]
[6.5,"e) Financial instruments - Short Positions ",null,null,null,null,0]
[6.6,"f) Other payables",null,null,null,null,0]
[6.7,"g) Deferred Tax Liability",null,null,null,null,0]
[6.8,"h) Provisions for liabilities",null,null,null,null,0]
[6.9,"i) Financial Liabilities",null,null,null,null,0,"Total Current liabilities",null,{"$f":"SUM(G52:G60)","v":0}]
[]
[7,"Total Liabilities",null,null,null,null,null,null,null,{"$f":"+J49+J60","v":0},null,null,{"$f":"IF(J62<0,\"Total liabilities figure is negative\",\"\")","v":""}]
[]
[]
[10,"Total Equity and Liabilities",null,null,null,null,null,null,null,{"$f":"+J62+J39+J37","v":0},null,null,{"$f":"IF(J65<>J24,\"Total assets are not equal to Total Equity and Liabilities\",\"\")","v":""}]
[]
[8,"* Details of 'Amounts due to/ from other connected persons' and/or **'Amounts due to/ from group Companies' and/or Any other details or comments:"]
[8]

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["ANNUAL SUPERVISORY FEE CALCULATOR",null,null,null,null,null,null,null,null,null,null,"License activity",null,"First Tranch","Tranches","Calc based on Revenue","Final Calc","Adjusted for floor / ceiling"]
[null,null,null,null,null,null,null,null,null,null,null,"Category 1A",null,3400,700,{"$f":"IF($E$21<50000,0,IF($E$21<=1000000,(ROUNDUP((($E$21-50000)/50000),0)*$O$2),(19*$O$2)))","v":0},{"$f":"N2+P2","v":3400},{"$f":"IF(Q2>P16,P16,IF(Q2<P15,P15,Q2))","v":{"$error":"#N/A"}},"EUR"]
[null,null,null,"(To be signed and submitted in hard copy on an Annual basis together with the Audited Financial Statements)",null,null,null,null,null,null,null,"Category 1B",null,4000,700,{"$f":"IF($E$21<50000,0,IF($E$21<=1000000,(ROUNDUP((($E$21-50000)/50000),0)*$O$3),(19*$O$3)))","v":0},{"$f":"N3+P3","v":4000},{"$f":"IF(Q3>T16,T16,IF(Q3<T15,T15,Q3))","v":{"$error":"#N/A"}},"GBP"]
[null,null,null,null,null,null,null,null,null,null,null,"Category 2",null,6500,700,{"$f":"IF($E$21<250000,0,IF($E$21<=5000000,(ROUNDUP((($E$21-250000)/250000),0)*$O$4),(19*$O$4)))","v":0},{"$f":"N4+P4","v":6500},{"$f":"IF(Q4>X16,X16,IF(Q4<X15,X15,Q4))","v":{"$error":"#N/A"}},"USD"]
[null,null,null,null,null,null,null,null,null,null,null,"Category 3",null,15000,700,{"$f":"IF($E$21<250000,0,IF($E$21<=50000000,(ROUNDUP((($E$21-250000)/250000),0)*$O$5),(199*$O$5)))","v":0},{"$f":"N5+P5","v":15000},{"$f":"IF(Q5>AB16,AB16,IF(Q5<AB15,AB15,Q5))","v":{"$error":"#N/A"}}]
[null,null,1,"Name of Licence Holder",{"$f":"'Cover Sheet'!C12","v":0}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Cat 1a",null,null,null,"Cat 1b",null,null,null,"Cat 2",null,null,null,"Cat 3"]
[null,null,2,"Licence Class",{"$f":"'Cover Sheet'!C16","v":0},"",null,null,null,null,null,null,null,null,"Year","Minimum Fee","Maximum Fee",null,"Year","Minimum Fee","Maximum Fee",null,"Year","Minimum Fee","Maximum Fee",null,"Year","Minimum Fee","Maximum Fee"]
[null,null,null,null,null,null,null,null,null,null,null,"Fee outcome from calculation",null,null,2025,3400,16700,null,2025,4000,17300,null,2025,6500,19800,null,2025,15000,28300]
[null,null,3,"Gross revenue indicated in the Annual Audited Financial Statements and that is derived from activities for which an investment services licence was issued in terms of Article 3 of the Investment Services Act",{"$f":"'B - Statement of c. income'!K66-'B - Statement of c. income'!K63","v":0},null,null,null,null,null,null,{"$f":"IF(OR('B - Financial Details'!L333=\"Licenced & not used\",'B - Financial Details'!L333=\"Licenced & used\",'B - Financial Details'!L336=\"Licenced & used\",'B - Financial Details'!L336=\"Licenced & not used\"),('B - Supervisory Fee Calculator'!Q5),IF(OR('B - Financial Details'!L332=\"Licenced & used\",'B - Financial Details'!L332=\"Licenced & not used\",'B - Financial Details'!L334=\"Licenced & used\",'B - Financial Details'!L334=\"Licenced & not used\",'B - Financial Details'!L5=\"Yes\",'B - Financial Details'!L108=\"Yes\",'B - Financial Details'!L213=\"Yes\",'B - Financial Details'!L299=\"Yes\"),'B - Supervisory Fee Calculator'!Q4,IF('B - Financial Details'!L345=\"No\",'B - Supervisory Fee Calculator'!Q3,'B - Supervisory Fee Calculator'!Q2)))","v":3400},"Pre-2025",null,2026,4000,17300,null,2026,4700,18000,null,2026,7600,20900,null,2026,17500,30800]
[null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(OR('B - Financial Details'!L333=\"Licenced & not used\",'B - Financial Details'!L333=\"Licenced & used\",'B - Financial Details'!L336=\"Licenced & used\",'B - Financial Details'!L336=\"Licenced & not used\"),('B - Supervisory Fee Calculator'!AB20),IF(OR('B - Financial Details'!L332=\"Licenced & used\",'B - Financial Details'!L332=\"Licenced & not used\",'B - Financial Details'!L334=\"Licenced & used\",'B - Financial Details'!L334=\"Licenced & not used\",'B - Financial Details'!L5=\"Yes\",'B - Financial Details'!L108=\"Yes\",'B - Financial Details'!L213=\"Yes\",'B - Financial Details'!L299=\"Yes\"),'B - Supervisory Fee Calculator'!X20,IF('B - Financial Details'!L345=\"No\",'B - Supervisory Fee Calculator'!T20,'B - Supervisory Fee Calculator'!P20)))","v":{"$error":"#N/A"}},"Post-2025",null,2027,4700,18000,null,2027,5500,18800,null,2027,8800,22100,null,2027,20000,33300]
[null,null,4,"Commission that are directly related to the acquisition of the said gross revenue, paid or payable to third parties",null,null,null,null,null,null,null,null,null,null,2028,5200,18500,null,2028,6200,19500,null,2028,10000,23300,null,2028,22500,35800]
[null,null,null,null,{"$f":"'B - Statement of c. income'!G71","v":0},null,null,null,null,null,null,null,null,null,2029,6000,19300,null,2029,7000,20300,null,2029,11000,26200,null,2029,22500,40200]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Current Year",{"$f":"YEAR(EDATE('Cover Sheet'!C25, 5))","v":1900},null,null,"Current Year",{"$f":"YEAR(EDATE('Cover Sheet'!C25,5))","v":1900},null,null,"Current Year",{"$f":"YEAR(EDATE('Cover Sheet'!C25,5))","v":1900},null,null,"Current Year",{"$f":"YEAR(EDATE('Cover Sheet'!C25,5))","v":1900}]
[null,null,5,"Currency in which accounts are reported",{"$f":"'Cover Sheet'!C27","v":0},null,null,null,null,null,null,null,null,null,"Min Fee",{"$f":"VLOOKUP(P14, O9:Q13, 2, FALSE)","v":{"$error":"#N/A"}},null,null,"Min Fee",{"$f":"VLOOKUP(T14, S9:U13, 2, FALSE)","v":{"$error":"#N/A"}},null,null,"Min Fee",{"$f":"VLOOKUP(X14, W9:Y13, 2, FALSE)","v":{"$error":"#N/A"}},null,null,"Min Fee",{"$f":"VLOOKUP(AB14, AA9:AC13, 2, FALSE)","v":{"$error":"#N/A"}}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Max Fee",{"$f":"VLOOKUP(P14, O9:Q13, 3, FALSE)","v":{"$error":"#N/A"}},null,null,"Max Fee",{"$f":"VLOOKUP(T14, S9:U13, 3, FALSE)","v":{"$error":"#N/A"}},null,null,"Max Fee",{"$f":"VLOOKUP(X14, W9:Y13, 3, FALSE)","v":{"$error":"#N/A"}},null,null,"Max Fee",{"$f":"VLOOKUP(AB14, AA9:AC13, 3, FALSE)","v":{"$error":"#N/A"}}]
[null,null,6,"Revenue in reported currency (as defined in Subsidiary Legislation 370.03 Investment Services Act (Fees) Regulations)",{"$f":"E10-E13","v":0},null,null,null,null,null,null,null,null,null,"Tranches",700,null,null,"Tranches",700,null,null,"Tranches",700,null,null,"Tranches",700]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Variable fee",{"$f":"IF($E$21<50000,0,IF($E$21<=1000000,(ROUNDUP((($E$21-50000)/50000),0)*$P$17),(19*$P$17)))","v":0},null,null,"Variable fee",{"$f":"IF($E$21<50000,0,IF($E$21<=1000000,(ROUNDUP((($E$21-50000)/50000),0)*$T$17),(19*$T$17)))","v":0},null,null,"Variable fee",{"$f":"IF($E$21<250000,0,IF($E$21<=5000000,(ROUNDUP((($E$21-250000)/250000),0)*$X$17),(19*$X$17)))","v":0},null,null,"Variable fee",{"$f":"IF($E$21<250000,0,IF($E$21<=50000000,(ROUNDUP((($E$21-250000)/250000),0)*$AB$17),(199*$AB$17)))","v":0}]
[null,null,7,"Exchange rate as at end of reporting period converting the reporting currency to EURO",{"$f":"IF(ISBLANK( 'Cover Sheet'!C29), 1, 'Cover Sheet'!C29)","v":1},null,null,null,null,null,null,null,null,null,"Final Calc",{"$f":"P18+P15","v":{"$error":"#N/A"}},null,null,"Final Calc",{"$f":"T18+T15","v":{"$error":"#N/A"}},null,null,"Final Calc",{"$f":"X18+X15","v":{"$error":"#N/A"}},null,null,"Final Calc",{"$f":"AB18+AB15","v":{"$error":"#N/A"}}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Adjusted for floor / ceiling",{"$f":"IF(P19>P16,P16,IF(P19<P15,P15,P19))","v":{"$error":"#N/A"}},null,null,"Adjusted for floor / ceiling",{"$f":"IF(T19>T16,T16,IF(T19<T15,T15,T19))","v":{"$error":"#N/A"}},null,null,"Adjusted for floor / ceiling",{"$f":"IF(X19>X16,X16,IF(X19<X15,X15,X19))","v":{"$error":"#N/A"}},null,null,"Adjusted for floor / ceiling",{"$f":"IF(AB19>AB16,AB16,IF(AB19<AB15,AB15,AB19))","v":{"$error":"#N/A"}}]
[null,null,8,"Revenue in EURO",{"$f":"E17*E19","v":0}]
[]
[null,null,9,"Annual Supervisory Fee due in EURO",{"$f":"IF(P14<2025, L10, L11)","v":3400}]
[]
[null,"Signed on behalf of licence holder by :"]
[]
[null,"We confirm that the above computation is in line with the provision set out in the Subsidiary Legislation 370.03 Investment Services Act (Fees) Regulations."]
[]
[null,"Signed:",null,null,null,"Date:"]
[null,null,"(Director/ Authorised Signatory)"]
[]
[null,"Name:"]
[]
[null,"Signed:",null,null,null,"Date:"]
[null,null,"(Director/ Authorised Signatory)"]
[]
[null,"Name:"]
[]
[null,"This Section must be filled only if the return is an Annual Return.  It should be completed by the Audit Partner/ Manager in charge "]
[]
[null,"We confirm that we have checked the above fee computation ad endorsed the Licence Holder's declarations set out above. "]
[]
[null,"Signed:",null,null,null,"Date:"]
[]
[null,"Name:"]
[]
[]
[null,"Notes:"]
[]
[null,"1. Please ensure that the figures reported above are consistent with figures reported in audited financial statements and other data/ information submitted to the Malta Financial Services Authority."]
[]
[]
[null,"2. Please ensure that you send your remittance to the Malta Financial Services Authority as soon as possible. Cheques are to be sent payable to the 'Malta Financial Services Authority' and are to be sent to the:"]
[]
[null,"Malta Financial Services Authority\nFinance Department\nTriq L- Imdina, Zone 1\nCentral Business District\nBirkirkara  CBD 1010"]
[]
[null,"3. The Authroity reserves the right to carry out random or full checks of data / information and fee computation submitted."]

{"sheet":"C - Exposure to Maltese Banks","index":14,"n_rows":28,"n_cols":11,"rows_kept":28,"cut":false,"hidden":false,"merged":[[20,1,20,10],[21,1,22,1],[21,2,22,2],[21,3,22,3],[21,4,22,4],[21,5,21,10],[11,1,11,10],[12,1,13,1],[12,2,13,2],[12,3,13,3],[12,4,13,4],[12,5,12,10],[0,0,0,11],[2,1,2,10],[3,1,4,1],[3,2,4,2],[3,3,4,3],[3,4,4,4],[3,5,3,10]]}
["Exposure to Maltese Banks"]
[]
[null,"Please list the top 5 banks to which the clients' assets and money held under nominee, including discretionary portfolio management are exposed. Please rank the banks in descending order (from largest to smallest) of total exposure."]
[null,null,"Ranking ","Name of Maltese Bank","LEI code of Bank","Exposure in Euro"]
[null,null,null,null,null,"Through Equity issued by the Bank","Through Bond issued by the Bank","Through Deposit","Assets under Custody","Other Exposure","Total"]
[null,"Bank 1",1,null,null,null,null,null,null,null,{"$f":"SUM(F6:J6)","v":0}]
[null,"Bank 2",2,null,null,null,null,null,null,null,{"$f":"SUM(F7:J7)","v":0}]
[null,"Bank 3",3,null,null,null,null,null,null,null,{"$f":"SUM(F8:J8)","v":0}]
[null,"Bank 4",4,null,null,null,null,null,null,null,{"$f":"SUM(F9:J9)","v":0}]
[null,"Bank 5",5,null,null,null,null,null,null,null,{"$f":"SUM(F10:J10)","v":0}]
[]
[null,"Please list the top 5 banks which make up the counterparties of clients' non-nominee transactions. Please rank the banks in descending order (from largest to smallest) of total transactions."]
[null,null,"Ranking ","Name of Maltese Bank","LEI code of Bank","Transactions in Euro"]
[null,null,null,null,null,"Through Equity issued by the Bank","Through Bond issued by the Bank","Through Deposit","Assets under Custody","Other Transactions","Total"]
[null,"Bank 1",1,null,null,null,null,null,null,null,{"$f":"SUM(F15:J15)","v":0}]
[null,"Bank 2",2,null,null,null,null,null,null,null,{"$f":"SUM(F16:J16)","v":0}]
[null,"Bank 3",3,null,null,null,null,null,null,null,{"$f":"SUM(F17:J17)","v":0}]
[null,"Bank 4",4,null,null,null,null,null,null,null,{"$f":"SUM(F18:J18)","v":0}]
[null,"Bank 5",5,null,null,null,null,null,null,null,{"$f":"SUM(F19:J19)","v":0}]
[]
[null,"Please list the top 5 banks to which the licence holder's assets and money are exposed. Please rank the banks in descending order (from largest to smallest) of total exposure."]
[null,null,"Ranking ","Name of Maltese Bank","LEI code of Bank","Exposure in Euro"]
[null,null,null,null,null,"Through Equity issued by the Bank","Through Bond issued by the Bank","Through Deposit","Assets under Custody","Other Exposure","Total"]
[null,"Bank 1",1,null,null,null,null,null,null,null,{"$f":"SUM(F24:J24)","v":0}]
[null,"Bank 2",2,null,null,null,null,null,null,null,{"$f":"SUM(F25:J25)","v":0}]
[null,"Bank 3",3,null,null,null,null,null,null,null,{"$f":"SUM(F26:J26)","v":0}]
[null,"Bank 4",4,null,null,null,null,null,null,null,{"$f":"SUM(F27:J27)","v":0}]
[null,"Bank 5",5,null,null,null,null,null,null,null,{"$f":"SUM(F28:J28)","v":0}]

{"sheet":"Confirmations","index":15,"n_rows":84,"n_cols":13,"rows_kept":84,"cut":false,"hidden":false,"merged":[[42,2,42,5],[49,2,49,5],[47,2,47,5],[0,0,0,13],[5,2,5,10],[7,2,7,10],[19,2,19,9],[29,2,31,12],[44,2,44,5],[21,2,21,9],[25,2,25,9]]}
["Confirmations"]
[null,null,null,null,null,null,null,null,null,null,null,null,0]
[null,null,{"$f":"'Cover Sheet'!B12","v":"Name of Licence Holder"},null,{"$f":"'Cover Sheet'!C12","v":0}]
[]
[]
[null,1,"Did the Licence Holder, carry out all due diligence checks on the suitability assessment of the subject persons as per Rule R1-2.4.2?  "]
[]
[null,2,"In relation to Point 1 above, can the Licence Holder confirm that there is no adverse information to declare as per Rule R1-2.4.3? "]
[]
[null,3,"Are there any individuals within the Licence Holder who earn at least EUR 1 million annually as per Rule R1-2.3.1?"]
[]
[null,4,"Does the Licence Holder have an Internal capital adequacy assessment process and internal risk-management process in place as per Rule R3-3.1.1.4?"]
[]
[null,5,"Does the Licence Holder fall under Prudential consolidation as per Article 7 of the Investment Firms Regulation as per Rule R3-2.2.3?"]
[]
[null,6,"Does the Licence Holder have a Risk Management function in place as per Rule R1-1.5.4.6?"]
[]
[null,7,"Does the Licence Holder have an Internal Audit function in place as per Rule R1-1.5.5.3?"]
[]
[null,8,"If the answer to point 7 is No, has the Company carried out a separate assessment to ascertain whether an internal audit function is required?"]
[]
[null,9,"Does the Company have a propriety trading platform? If in the affirmative please confirm that an independent IT Auditor has certified the adequacy of the systems in place as per Rule R1-1.12.1."]
[]
[null,10,"Does the license holder maintain a professional indemnity insurance as per rule R1-1.9.1?"]
[]
[null,11,"Does the Company have a liquidity requirements derogation in place as per Rule R3-2.6.2? If in the affirmative, did the Company carry out an assessment to ensure that there have been no material changes that would impinge on the such liquidity requirements derogation?"]
[]
[null,null,"Please insert additional information in the box below as necessary"]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[null,"By signing the below, the signatories declare that the information within this Return provided is correct and assume any liability connected to this document."]
[]
[]
[null,"Signed on behalf of licence holder by :"]
[]
[null,"Name:"]
[]
[null,"Signed:",null,null,null,null,null,"Date:"]
[null,null,"(Director/ Authorised Signatory)"]
[]
[null,"Name:"]
[]
[null,"Signed:",null,null,null,null,null,"Date:"]
[null,null,"(Non-Executive Director or Compliance Officer or Internal Auditor)"]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[null,null,"Yes & independently certified",null,"Yes"]
[null,null,"Yes & not independently certified",null,"No, maintains additional own funds"]
[null,null,"No"]
[null,null,"N/A"]
[]
[null,null,"Yes"]
[null,null,"No",null,null,null,"Add confirmation and signature similar to Rep Sheet",null,null,null,"Yes, independent function","Yes, independent function"]
[null,null,"N/A",null,null,null,null,null,null,null,"Yes, non-independent function","No"]
[null,null,null,null,"YES",null,"No adverse information",null,null,null,"No"]
[null,null,null,null,"NO",null,"There are adverse material findings"]
[null,null,null,null,"N/A"]
[]
[null,null,"N/A, Company not in scope of a derogation"]
[null,null,"Yes, and Company carried out an assessment"]
[null,null,"Yes, and Company did not carry out an assessment"]
[null,null,"No, Company has no derogation in place"]