Introduction to the Financial Services Survey: Quarterly ... Introduction to the Financial Services...

Introduction to the Financial Services Survey: Quarterly Return of Assets and Liabilities

Purpose of this surveyThis survey collects information on the assets and liabilities of your business. The information supplied forms part of the UK's

National Accounts and Balance of Payments which are used by the Treasury and the Bank of England to monitor the

economy.

Coverage� Include information for the UK business named on the front of this questionnaire.

� Exclude overseas branches, subsidiaries and agencies.

� The UK consists of England, Wales, Scotland and Northern Ireland, but excludes the Channel Islands and the Isle of Man.

Information requiredThis questionnaire is divided into eight sections, which ask for information about:

Section A the reporting period

Section B assets

Section C liabilities

Section D transactions in financial instruments

Section E transactions in non-financial assets

Section F breakdown of financial derivatives held as assets

Section G breakdown of financial derivatives held as liabilities

Section H any substantial changes, completion time and your contact details

Basis for completion� This questionnaire should be completed on an accruals or mark to market accounting basis and would normally utilise

data from the accounting system that is used for the production of your statutory accounts.

� Please provide information only for the accounts of the business named on the front of this questionnaire. Clients assets

should be excluded.

� Current prices or market values should be used.

How to complete the questionnaire� Give the best estimate you can if you do not have exact figures.

� Leave question blank if not applicable (a zero return will be assumed). Do not use 'nil', 'n/a' or draw a line in the data.

� Read accompanying instructions before completing this questionnaire.

� The items listed under Include and Exclude are examples and should not be taken as a complete list of items.

� Round all values to the nearest £0.1 million

For example, £65,375,000 =

For example, £88,000 =

� Use the closing middle market spot rate on the last day of the period covered in this questionnaire if you need to convert

from foreign currency to sterling.

This questionnaire will be scanned, therefore please:

� complete in black ink� ensure letters and numbers are PRINTED and centered within each box

� do not use commas

� do not cross sevens 7 or zeros 0

£ 6 5, ,. 4

m

,

_ /

£ , ,. 0 1

m

266S1B

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N

This survey covers the calendar quarter [variable text]

1. Are you able to report for the quarter [variable text]?

Yes Go to section B

No Go to question 2

X

X MRK0100

2. What are the dates of the quarter that you will be reporting for?

D D M M Y Y Y Y D D M M Y Y Y Y

DTUFrom: To:

Section A - Reporting Period

Section B - AssetsPlease provide your end balance position as recorded in your company accounts at the end of the period specified in

Section A.

Section B.1 - Deposits (financial assets)

3. Questions in this section are about the financial assets of the business named on the front of thisquestionnaire.

At the end of the reporting period:

4. What was the value of your holdings of transferable deposits held with banks or buildingsocieties located:Transferable deposits are deposits that can be exchanged for bank notes and coins on demand,

without penalty or restriction. They can also be used directly to make payments by cheque, direct

debit, bankers draft or giro.

Include:

� balances with banks or building societies held

in current accounts

Exclude:

� monies held on behalf of others, such as clients

� cash holdings

� transferable deposits that are not available on

demand or have limited transferability

To the nearest £0.1 milliona. in the UK:

i. in sterling? .................................................................

ii. in non-sterling? ..........................................................

£ , ,.

m NHC

£ , ,.

m NHC

1000

1001

b. outside of the UK:

i. in sterling? .................................................................


£ , ,.

m NHC

£ , ,.

m NHC

1002

1003

266S1C

0101 0102

S P E

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N


5. Did the business named on the front of this questionnaire have any holdings of other deposits?For example saving deposits, fixed term deposits and non-negotiable certificates of deposit.

Include:

� amounts due to this business from banks

or building societies under reverse sales

repurchase agreements, gold swaps or

stock borrowing

Yes Go to question 6

No Go to section B.2

Exclude:

� cash holdings

� transferable deposits that are not available on

demand or have limited transferability

� monies held on behalf of others, such as clients

� amounts due to this business from anyone

other than a bank or building society. These are

requested at question 28

X

X MRK0103

6. What was the value of your holdings of any other deposits located:Exclude:

� money market funds. Please report these at question 41.


i. in sterling? .................................................................


£ , ,.

m NHC1004

£ , ,.

m NHC1005


i. in sterling? .................................................................


£ , ,.

m NHC1006

£ , ,.

m NHC1007

7. Please provide examples of other deposits you have included in question 6:

CFG

0104

266S1D

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Section B.2 - Debt securities with an original maturity of one year or less (financial assets)



9. Did the business named on the front of this questionnaire have any holdings of debt securities with anoriginal maturity of one year or less?Debt securities are negotiable instruments which serve as evidence of debt. They include:

� bonds

� negotiable certificates of deposit

� debentures

� bills

� non-participatory preferences shares

� negotiable loans that are traded on open markets



X

X MRK0105

10. What was the value of your holdings of certificates ofdeposit issued by banks or building societies located:


i. in sterling? ..................................................................

ii. in non-sterling? ...........................................................

£ , ,.

m NHC1008

£ , ,.

m NHC1009


i. in sterling? ..................................................................


£ , ,.

m NHC1010

£ , ,.

m NHC1011

11. What was the value of your holdings of Treasury Billsissued by:

a. Her Majesty’s Treasury (HMT)? .......................................

b. overseas governments? ..................................................

£ , ,.

m NHC1012

£ , ,.

m NHC1013

266S1E

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12. What was the value of your holdings of UK local authority debt and temporarymoney with local authorities?Include:

� local authority bills

Exclude:

� local authority securities

� local authority bonds

To the nearest £0.1 million

£ , ,.

m NHC1014

13. What was the value of your holdings of commercial paper issued by banks or building societies located:

a. in the UK:

i. in sterling? .................................................................


£ , ,.

m NHC1015

£ , ,.

m NHC1016


i. in sterling? .................................................................


£ , ,.

m NHC1017

£ , ,.

m NHC1018

14. What was the value of your holdings of any other commercial paper issued:

a. in the UK:

i. in sterling? .................................................................


£ , ,.

m NHC1019

£ , ,.

m NHC1020


i. in sterling? .................................................................


£ , ,.

m NHC1021

£ , ,.

m NHC1022

266S1F

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N


15. Did the business named on the front of this questionnaire have any holdings of other debt securitieswith an original maturity of one year or less?



X

X MRK0106

16. What was the value of your holdings of any other debt securities with an original maturity of one yearor less issued by institutions or businesses located:


i. in sterling? .................................................................


£ , ,.

m NHC1023

£ , ,.

m NHC1024


i. in sterling? .................................................................


£ , ,.

m NHC1025

£ , ,.

m NHC1026

17. Please provide examples of debt securities you have included in question 16 that had an original maturity of one year or less:

CFG

0107

266S1G

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N

Section B.3 - Debt securities with an original maturity of more than one year (financial assets)



19. Did the business named on the front of this questionnaire have any holdings of debt securities with anoriginal maturity of more than one year?Debt securities are negotiable instruments which serve as evidence of debt. They include:

� bonds


� debentures

� bills





X

X MRK0108

20. What was the value of your holdings of debt securities withan original maturity of more than one year issued by:Include:

� gilts and bonds with an original maturity of more than

one year

a. UK government? .............................................................

b. UK local authorities? .......................................................

c. overseas governments, provincial or municipal

authorities? ......................................................................


£ , ,.

m NHC1027

£ , ,.

m NHC1028

£ , ,.

m NHC1029

21. What was the value of your holdings of UK corporate bondswith an original maturity of more than one year issued by:

a. banks or building societies:

i. in sterling? .................................................................


£ , ,.

m NHC1030

£ , ,.

m NHC1031

b. other corporations:

i. in sterling? .................................................................


£ , ,.

m NHC1032

£ , ,.

m NHC1033

22. What was the value of your holdings of corporate debtsecurities with an original maturity of more than one yearissued by overseas residents? ................................................ £ , ,

.m NHC1034

266S1H

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23. What was the value of your holdings of non-participatory preferenceshares issued:

a. in the UK:

i. in sterling? .................................................................



£ , ,.

m NHC1035

£ , ,.

m NHC1036


i. in sterling? .................................................................


£ , ,.

m NHC1037

£ , ,.

m NHC1038


24. Did the business named on the front of this questionnaire have any holdings of other debtsecurities with an original maturity of more than one year?



X

X MRK0109

25. What was the value of your holdings of any other debt securities withan original maturity of more than one year issued by institutions orbusinesses located:

a. in the UK:

i. in sterling? .................................................................


£ , ,.

m NHC1039

£ , ,.

m NHC1040


i. in sterling? .................................................................


£ , ,.

m NHC1041

£ , ,.

m NHC1042

26. Please provide examples of debt securities you have included in question 25 that had an original maturityof more than one year:

CFG

0110

266S1I

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N

Section B.4 - Loans with an original maturity of one year or less (financial assets)

27. Questions in this section are about the financial assets of the business named on the front of this questionnaire.


28. Did the business named on the front of this questionnaire have any outstanding balances receivable forloans with an original maturity of one year or less?Include:

� amounts due to this business from institutions

and individuals other than banks or building

societies under reverse sales repurchase

agreements, gold swaps or stock borrowing



Exclude:

� loans to other businesses within your business's

group structure

X

X MRK0111

29. What was the outstanding balance receivable from loanswith an original maturity of one year or less? ...................

a. of which, in sterling? .......................................................

b. of which, in non-sterling? ................................................


£ , ,.

m NHC1043

£ , ,.

m NHC1044

£ , ,.

m NHC1045

30. Of your total outstanding balance at question 29, whatwas the amount receivable from:

a. private individuals located in the UK? ............................

b. businesses located in the UK? ......................................

c. other recipients located in the UK (such as

government)? .................................................................

d. recipients located outside of the UK who are not

associated or affiliated with this business? ....................

£ , ,.

m NHC1046

£ , ,.

m NHC1047

£ , ,.

m NHC1048

£ , ,.

m NHC1049

266S1J

S P E

C I

M E

N

Section B.5 - Loans with an original maturity of more than one year (financial assets)



32. Did the business named on the front of this questionnaire have any outstanding balances receivable forloans with an original maturity of more than one year?Include:

� any current assets associated with loans

with an original maturity of more than one year



Exclude:

� loans to other businesses within your business’s

group structure

X

X MRK0112

33. What was the outstanding balance receivable from loanswith an original maturity of more than one year? ...............

a. of which, in sterling? .......................................................

b. of which, in non-sterling? ................................................


£ , ,.

m NHC1050

£ , ,.

m NHC1051

£ , ,.

m NHC1052

34. Of your total outstanding balance at question 33, what wasthe amount receivable from:

a. private individuals located in the UK? ............................

b. businesses located in the UK? .......................................

c. other recipients located in the UK (such as

government)? .................................................................

d. recipients located outside of the UK who are not

associated or affiliated with this business? ....................

£ , ,.

m NHC1053

£ , ,.

m NHC1054

£ , ,.

m NHC1055

£ , ,.

m NHC1056

266S1K

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N

35. Of your total outstanding balance at question 33,what was the amount relating to:

a. direct investment?Direct investment is the purchase of a controlling

interest in another institution which is based overseas,

by a means other than the purchase of shares ..............

b. loans secured on property? ........................................

c. finance leases?Include hire purchase agreements ................................

i. of which, UK public sector? ......................................

ii. of which, UK businesses? ........................................

iii. of which, businesses located outside of the UK? .....

d. other loans? .................................................................


£ , ,.

m NHC1057

£ , ,.

m NHC1058

£ , ,.

m NHC1059

£ , ,.

m NHC1060

£ , ,.

m NHC1061

£ , ,.

m NHC1062

£ , ,.

m NHC1063

266S1L

S P E

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N

Section B.6 - Equity, shares and units (financial assets)



37. Did the business named on the front of this questionnaire have any holdings of equity, shares or units inother institutions or businesses?Equity represents the holders funds in the business that issued the equity. It entitles the holder to residual claim on

the assets held by the institutions or businesses that issued the equity, after the claims of all creditors have been met.



X

X MRK0113

38. What was the value of your holdings of listed equity in institutions or businesses located:Include:

� all instruments and records that acknowledge the

claim that this business has on the residual value of the

institutions or businesses in which you hold equity, after

the claims of all creditors have been met.

This includes shares, stocks, depository receipts,

participations or similar items.

a. in the UK? ........................................................................

b. outside of the UK? ...........................................................

i. of which, within the EU? ........................................

Exclude:

� unlisted stocks or shares

� shares or units held in investment

funds or trusts

� non-participatory preference shares.

These were requested at question 23


£ , ,.

m NHC1064

£ , ,.

m NHC1065

£ , ,.

m NHC1066

39. What was the value of your holdings of unlisted equity in institutions or businesses located:Include:

� all instruments and records that acknowledge the

claim that this business has on the residual value of the

institutions or businesses in which you hold equity, after

the claims of all creditors have been met.

This includes shares, stocks, depository receipts,

participations or similar items.

a. in the UK? .......................................................................

b. outside of the UK? ..........................................................

i. of which, within the EU? ......................................

Exclude:

� listed stocks or shares

� shares or units held in investment funds or

trusts



£ , ,.

m NHC1067

£ , ,.

m NHC1068

£ , ,.

m NHC1069

266S1M

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N

40. What was the value of your holdings of any other equity in institutions or businesses located:Include:

� capital invested in corporations or quasi-

corporations that do not offer stocks or shares

(e.g. public enterprises, partnerships, unlimited

liability companies)

Exclude:

� equity represented by stocks or shares

� shares or units held in investment funds or

trusts



a. in the UK? .......................................................................

b. outside of the UK? ..........................................................

i. of which, within the EU? ......................................


£ , ,.

m NHC1070

£ , ,.

m NHC1071

£ , ,.

m NHC1072

41. What was the value of your holdings of shares or unitsheld in:Money market funds are trusts and funds whose investment

portfolios are restricted to short-term market securities such

as treasury bills, commercial paper and certificates of deposit.

These types of funds can also have holdings of bank

deposits. They can be either open ended or closed ended in

structure.

Non-money market funds can hold any type of asset within

their portfolio. Generally they tend to hold a longer term

portfolio of investments, such as bonds, equity and real

estate. They can be either open ended or closed ended in

structure.

Include:

� only own account holdings, not those held on behalf of

others in any of the funds you manage as part of an

investment management service

a. UK money market funds? ...............................................

b. overseas money market funds? .....................................

c. UK non-money market funds? ........................................

d. overseas non-money market funds? ..............................

£ , ,.

m NHC1073

£ , ,.

m NHC1074

£ , ,.

m NHC1075

£ , ,.

m NHC1076

266S1N

S P E

C I

M E

N

Section B.7 - Derivative contracts (financial assets)Please categorise your derivative contracts as either ‘option type’ or ‘forward type’. Option type contracts give the

purchaser the opportunity, but not the obligation to buy or sell a particular financial instrument or commodity at a

pre-determined price within a specified time-span or on a certain date. When completing the questions on option type

contracts please include warrants, but exclude employee stock option schemes. Forward type contracts are

unconditional contracts which represent an obligation for settlement on a specified date. Forward type contracts include

futures, interest rate swaps, forward rate agreements, foreign exchange swaps and cross currency interest rate swaps.



43. Did the business named on the front of this questionnaire have any 'in the money' derivative contracts?



X

X MRK0114

44. What was the fair value of:

a. forward type derivative contracts held with a positive

value? .............................................................................

b. option type derivative contracts held? ............................


£ , ,.

m NHC1077

£ , ,.

m NHC1078

266S1O

S P E

C I

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N

Section B.8 - Other accounts receivable (financial assets)



46. What was the amount recorded in your balance sheet forgoods and services that you have paid for, but not yetreceived? ..................................................................................


£ , ,.

m NHC1079

47. What was the amount recorded in your balance sheet forgoods and services that you have provided to customers,but have not yet received payment for?................................

£ , ,.

m NHC1080

48. What was the value of any other balances due to thebusiness named on the front of this questionnaire?Exclude anything already captured in questions 46 and 47 ..... £ , ,

.m NHC1081


49. Did the business named on the front of this questionnaire have any holdings of other financial assets notalready included?



X

X MRK0115

50. What was the value of your holdings of any other financialassets not already included? ................................................ £ , ,

.m NHC1082

51. Please provide examples of financial assets you have included in question 50:

CFG

0116

266S1P

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Section B.9 - Non-financial assets

52. Questions in this section are about the non-financial assets of the business named on the front of thisquestionnaire.


53. What was the value of materials, stores and fuel asreported on this business’s balance sheet?Include office supplies and other consumable material and

stores that this business intends to use up as part of normal

business operations ..................................................................


£ , ,.

m NHC1083

54. What was the value of work in progress for servicesprovided to others as reported on this business’s balancesheet?Include amounts outstanding for which progress payments

have not yet been received for example on long term contracts.

Exclude any work for which progress payments have been

received .....................................................................................£ , ,

.m NHC1084

55. What was the value of finished goods recorded on thisbusiness’s balance sheet, including those purchased forresale without any further processing?Include holdings of goods such as silver bullion and un-cut

diamonds which are acquired for the purposes of re-sale ........ £ , ,.

m NHC1085

56. What was the value of your holdings of tangible andintangible fixed assets? ..........................................................

£ , ,.

m NHC1086

57. Did the business named on the front of this questionnaire have any holdings of other non-financial assetsnot already included?


No Go to section C

X

X MRK0117

58. What was the value of your holdings of any othernon-financial assets not already included? .......................... £ , ,

.m NHC1087

59. Please provide examples of non-financial assets you have included in question 58:

CFG

0118

266S1Q

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Section C - LiabilitiesPlease provide your end balance position as recorded in your company accounts at the end of the period specified in

Section A.

Section C.1 - Debt securities (liabilities)

60. Questions in this section are about the liabilities of the business named on the front of this questionnaire.


61. Had the business named on the front of this questionnaire issued any debt securities?Debt securities are negotiable instruments which serve as evidence of debt. They include:

� bonds


� debentures

� bills




No Go to section C.2

X

X MRK0119

62. What was the outstanding balance from issues ofcommercial paper:

a. in sterling? ......................................................................

b. in non-sterling? ...............................................................


£ , ,.

m NHC2000

£ , ,.

m NHC2001

63. What was the outstanding balance from issues of:

a. other debt securities with an original maturity ofone year or less:Exclude:

� commercial paper (this should be reported

at question 62)

i. in sterling? .................................................................


£ , ,.

m NHC2002

£ , ,.

m NHC2003

b. debt securities with an original maturity of morethan one year:Include:

� non-participatory preference shares

i. in sterling? .................................................................


£ , ,.

m NHC2004

£ , ,.

m NHC2005

266S1R

S P E

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N

Section C.2 - Loans with an original maturity of one year or less (liabilities)



65. Did the business named on the front of this questionnaire have any loan liabilities with an originalmaturity of one year or less?Include:

� amounts owed under sales repurchase

agreements, gold swaps or stock borrowing



Exclude:

� loans from other businesses within your business's

group structure

X

X MRK0120

66. What was the outstanding balance payable from loanswith an original maturity of one year or less? ......................


£ , ,.

m NHC2006

a. of which, to banks or building societies located inthe UK:

i. in sterling? .................................................................


£ , ,.

m NHC2007

£ , ,.

m NHC2008

b. of which, to others located in the UK:

i. in sterling? .................................................................


£ , ,.

m NHC2009

£ , ,.

m NHC2010

c. of which, to others located outside of the UK:

i. in sterling? .................................................................


£ , ,.

m NHC2011

£ , ,.

m NHC2012

266S1S

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N

Section C.3 - Loans with an original maturity of more than one year (liabilities)



68. Did the business named on the front of this questionnaire have any loan liabilities with an original maturityof more than one year?Include:

� any liabilities associated with loans with an

original maturity of more than one year



Exclude:

� loans from other businesses within your business's

group structure

X

X MRK0121

69. What was the outstanding balance payable from loanswith an original maturity of more than one year? ................


£ , ,.

m NHC2013

a. of which, to banks or building societies located inthe UK:

i. in sterling? .................................................................


£ , ,.

m NHC2014

£ , ,.

m NHC2015

b. of which, to others located in the UK:

i. in sterling? .................................................................


£ , ,.

m NHC2016

£ , ,.

m NHC2017

c. of which, to others located outside of the UK:

i. in sterling? .................................................................


£ , ,.

m NHC2018

£ , ,.

m NHC2019

266S1T

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N

70. Of your total outstanding balance payable at question 69,what was the amount relating to:

a. direct investment?Direct investment is the purchase of a controlling interest

in another institution which is based overseas, by a

means other than the purchase of shares.........................

b. loans secured on property? ..........................................

c. finance leases?Include hire purchase agreements ..................................

i. of which, UK public sector? ........................................

ii. of which, UK businesses? ..........................................

iii. of which, businesses located outside of the UK? .......

d. other loans? ...................................................................


£ , ,.

m NHC2020

£ , ,.

m NHC2021

£ , ,.

m NHC2022

£ , ,.

m NHC2023

£ , ,.

m NHC2024

£ , ,.

m NHC2025

£ , ,.

m NHC2026

Section C.4 - Equity (liabilities)



72. Had the business named on the front of this questionnaire issued any shares or other forms of equity?Issued equity represents the liabilities of this business to meet the claims of other institutions or individuals to

whom stocks, shares, depository receipts, participation's or similar documents have been issued.



X

X MRK0122

266S1U

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N

73. What was the value of:Include:

� all instruments and records that acknowledge

the claim that other institutions or individuals

have on the residual value of this business,

after the claims of all creditors have been met.

a. listed equity issued by this business in the UK? .............

b. unlisted equity issued by this business in the UK? .........

c. other equity issued by this business in the UK? .............

d. equity issued by this business outside of the UK? .........

i. of which, within the EU .........................................

Exclude:


These should be reported at question 63


£ , ,.

m NHC2027

£ , ,.

m NHC2028

£ , ,.

m NHC2029

£ , ,.

m NHC2030

£ , ,.

m NHC2031

Section C.5 - Derivative contracts (liabilities)Please categorise your derivative contracts as either ‘option type’ or ‘forward type’. Option type contracts give the

purchaser the opportunity, but not the obligation to buy or sell a particular financial instrument or commodity at a

pre-determined price within a specified time-span or on a certain date. When completing the questions on option

type contracts please include warrants, but exclude employee stock option schemes. Forward type contracts are

unconditional contracts which represent an obligation for settlement on a specified date. Forward type contracts

include futures, interest rate swaps, forward rate agreements, foreign exchange swaps and cross currency

interest rate swaps.



75. What was the fair value of: Exclude employee stock options

a. forward type derivative contracts held with a negative

value? .............................................................................

b. liabilities in relation to option type derivative contracts? .

£ , ,.

m NHC2032

£ , ,.

m NHC2033

76. For the business named on the front of this questionnaire,what was the value of outstanding stock options offeredto employees under an employee stock options scheme? £ , ,

.m NHC2034

266S1V

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N

Section C.6 - Other accounts payable (liabilities)



78. What was the amount recorded in your balance sheetfor goods and services that you have received paymentfor, but not yet delivered to customers? ...............................


£ , ,.

m NHC2035

79. What was the amount recorded in your balance sheet forgoods and services that you have received, but not yetpaid for? ................................................................................... £ , ,

.m NHC2036

80. What was the value of any other balances owed by thebusiness named on the front of this questionnaire?Exclude anything already captured in questions 78 and 79 ...... £ , ,

.m NHC2037

Section C.7 - Other liabilities



82. What was the amount recorded in your balance sheet for:

£ , ,.

m NHC2038

£ , ,.

m NHC2039

£ , ,.

m NHC2040

a. pension liabilities? ..........................................................

b. share capital and share premium accounts? ..................

c. revaluation reserves? .....................................................

83. Did the business named on the front of this questionnaire have any other liabilities not already included?


No Go to section D

X

X MRK0123

84. What was the value of any other liabilities not already included? ............................................................................... £ , ,

.m NHC2041

85. Please provide examples of liabilities you have included in question 84:

CFG

0124

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Section D - Transactions in financial instrumentsPlease include only those transactions which relate to proprietary trading activity, own account dealing or dealing where

the business named on the front of this questionnaire is the principal.

Section D.1 - Transactions in debt securitiesPlease provide cash values actually paid or received without adjustments for expenses. Include only outright transactions in

securities; transactions under sale and repurchase agreements should be excluded. When valuing newly issued securities

on which further instalments are payable, include only the amounts of instalments actually paid. Interest values that

indistinguishably form part of the price of a debt security may be included.

During the reporting period:

86. What was the total value of acquisitions of:To the nearest £0.1 million

£ , ,.

m NHC3000

£ , ,.

m NHC3001

a. debt securities with an original maturity of one year or

less? ...............................................................................

b. debt securities with an original maturity of more than

one year? .......................................................................

87. What was the total value of disposal of:

a. debt securities with an original maturity of one year or

less? ...............................................................................

b. debt securities with an original maturity of more than

one year? .......................................................................

£ , ,.

m NHC3002

£ , ,.

m NHC3003

Section D.2 - Transactions in equity, shares and unitsTransactions in equity should be valued at the price actually paid or received, excluding expense adjustments. Fees,

commission, stamp duty and other taxes should be excluded.


88. What was the total value of acquisitions of equity in UK companies?

£ , ,.

m NHC3004

£ , ,.

m NHC3005

a. of which, listed equity? ..................................................

b. of which, unlisted equity? ..............................................

89. What was the total value of disposal of equity in UK companies?

a. of which, listed equity? ..................................................

b. of which, unlisted equity? ..............................................

£ , ,.

m NHC3006

£ , ,.

m NHC3007

90. What was the total value of acquisitions of equity incompanies located outside of the UK? .............................. £ , ,

.m NHC3008

91. What was the total value of disposal of equity incompanies located outside of the UK? ............................... £ , ,

.m NHC3009

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92. What was the total value of acquisitions of shares orunits in:Money market funds are trusts and funds whose investment

portfolios are restricted to short-term market securities.


their portfolio. An overseas trust or fund is domiciled outside

of the UK. To the nearest £0.1 million





£ , ,.

m NHC3010

£ , ,.

m NHC3011

£ , ,.

m NHC3012

£ , ,.

m NHC3013

93. What was the total value of disposal of shares orunits in:Money market funds are trusts and funds whose investment

portfolios are restricted to short-term market securities.


their portfolio. An overseas trust or fund is domiciled outside

of the UK.

£ , ,.

m NHC3014

£ , ,.

m NHC3015

£ , ,.

m NHC3016

£ , ,.

m NHC3017





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Section E - Transactions in non-financial assetsPlease provide the value of acquisition costs and proceeds from disposals of non-financial assets for the period specified

in Section A.

Include non-financial assets acquired under finance leases.


94. What was the total capital expenditure on majorimprovements and construction work for own use, orwhere you are responsible for its maintenance?

Include:

� new build, major refurbishments or improvements to

existing buildings for own use, or where you are

responsible for maintenance

� work contracted to constructors or arranged through

agents or developers

� commercial, industrial, educational and health buildings;

public monuments; and other non-residential buildings

� fittings and installations such as lifts, electrics, plumbing,

heating and ventilation systems and water supply

� construction of structures such as oil wells, platforms,

mines, pipes, power lines, transport infrastructure, wind

farms, turbines and steel frameworks

� site improvements and other land preparation for own usee.g. levelling, clearance and draining of marshes

� transfer costs, stamp duties and taxes payable to acquire

the asset

� architects', engineers' and surveyors' fees, legal costs,

agents' commission and all professional charges

� delivery, installation and decommissioning costs

a. acquisition costs? ......................................................... 3018

Exclude:

� current repair and maintenance costs

� expenditure on land purchased in connection

with construction work

� structures that are used primarily as residences

(dwellings) e.g. houses, houseboats, caravans

and associated structures such as garages

� machinery and equipment

� purchase of existing structures such as oil

wells, platforms, mines, pipes, power lines,

transport infrastructure, wind farms, turbines

and steel frameworks


£ , ,.

m NHC

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95. For transport equipment, what was the value of:This is equipment for moving people and objects.

Include:

� motor vehicles

� trailers

� semi-trailers

� ships and boats

� railway, locomotives and rolling stock

� air and spacecraft related machinery

� military fighting equipment (but not weapons

systems)

� motorcycles

� bicycles To the nearest £0.1 million

£ , ,.

m NHC3019

£ , ,.

m NHC3020

a. acquisition costs? ........................................................

b. proceeds from disposals? ...........................................

96. For computer hardware and peripheral equipment, what wasthe value of:Include:

� printers and terminals

� bundle software that your are unable to value separately

£ , ,.

m NHC3021

£ , ,.

m NHC3022



97. For computer software, what was the value of:Include:

� computer programmes

� programme descriptions

� supporting materials for systems and

applications software

� initial development of, and any extension of

existing software

� acquisition of any copies

� labour costs associated with the development

and production of software

a. acquisition costs? ..........................................................

i. of which, produced in-house for own use? .............

b. proceeds from disposals? .............................................

£ , ,.

m NHC3023

£ , ,.

m NHC3024

£ , ,.

m NHC3025

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98. For databases, what was the value of:These are files of data that are organised to enable effective use

of and access to that data.

For databases that are created exclusively for own use, the

valuation should be based on the costs of the database, but

these costs should exclude the cost of ongoing management of

the database and any costs associated with acquiring the data

held by the database.

Include:

� labour costs associated with the development and production

of software


i. of which, produced in-house for own use? ...........

b. proceeds from disposals? ............................................

£ , ,.

m NHC3026

£ , ,.

m NHC3027

£ , ,.

m NHC3028

99. For telecommunications equipment, what was the value of:Include:

� telephones

� fax machines

� switchboards

� CCTV equipment

a. acquisition costs? .......................................................


£ , ,.

m NHC3029

£ , ,.

m NHC3030

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100. For other machinery and equipment, whatwas the value of:Include:

� electronic components and optical equipment

� electrical equipment

� furniture

Exclude:

� transport equipment

� computer hardware and peripheral equipment

� telecommunications equipment

� unfinished machinery and equipment that is not

for the own final use of the business

� tools that are relatively inexpensive and

purchased regularly, e.g. hand tools

� machinery and equipment integral to buildings

(these are included in dwellings and non

residential buildings)

� machinery and equipment that are considered

weapons systems acquired for military purposes




£ , ,.

m NHC3031

£ , ,.

m NHC3032

101. For intellectual property products, what was the value of:New information, specialised knowledge, etc., whose use in

production is restricted to the units (businesses) that have

established ownership rights over them or to other units licensed by

those with ownership rights.

Include:

� new protected information and specialised knowledge, used in

production and not mentioned elsewhere

a. acquisition costs? ..........................................................

b. proceeds from disposals? .............................................

£ , ,.

m NHC3033

£ , ,.

m NHC3034

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Section F - Breakdown of financial derivatives held as assetsWe require a breakdown of the value of your financial derivatives held as assets.

102. Did the business named on the front of this questionnaire have any financial derivatives held as assets?


No Go to section G

X

X MRK0129

103. Please provide a breakdown by sector in the table entitled 'Counterparty breakdown of financial derivativesheld as assets'.Please refer to ‘Notes for financial derivatives held as assets' at the back of the questionnaire for further information to

help you complete the following table for your breakdown of financial derivatives held as assets.

Counterparty breakdown of financial derivatives held as assets

Counterparty Sector

9100

Forward type derivative contracts

Fair value of forward type derivative

contracts with a positive value held

by this business with:9101


Option type derivative contracts

Fair value of option type derivative

contracts held by this business with:

9102


1. UK banks and building societies ......

2. UK money market trusts and

funds ................................................

3. UK non-money market trusts and

funds .................................................

4. UK financial auxiliaries, captive

financial institutions and money

lenders ..............................................

5. UK financial intermediaries,

except insurance corporations

and pension funds ............................

i. Of which, other

securities dealers ...................

6. UK insurance corporations and

pension funds ...................................

7. UK private and public

non-financial corporations ................

8. UK central government and UK

local authorities ................................

9. UK households and individuals ........

10. UK non-profit institutions serving

households ......................................

11. Non-UK residents ............................

Total value of financial derivatives reported ......................

The total value for forward type derivative contracts should equal the value reported at Question 44.aThe total value for option type derivative contracts should equal the value reported at Question 44.b

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

9103 9104

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Section G - Breakdown of financial derivatives held as liabilitiesWe require a breakdown of the value of your financial derivatives held as liabilities.

104. Did the business named on the front of the questionnaire have any financial derivatives held as liabilities?


No Go to section H

X

X MRK0130

105. Please provide a breakdown by sector in the table entitled 'Counterparty breakdown of financial derivativesheld as liabilities'.Please refer to ‘Notes for financial derivatives held as liabilities’ at the back of the questionnaire for further information

to help you complete the following table for your breakdown of financial derivatives held as liabilities.

Counterparty breakdown of financial derivatives held as liabilities

Counterparty Sector

9200


Forward type derivative contracts

Fair value of forward type derivative

contracts with a negative value held


Option type derivative contracts

Fair value of liabililties in relation to

option type derivative contracts held



£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

£ . £ .NNO

1. UK banks and building societies ......

2. UK money market trusts and

funds ................................................

3. UK non-money market trusts and

funds .................................................

4. UK financial auxiliaries, captive

financial institutions and money

lenders ..............................................

5. UK financial intermediaries,

except insurance corporations

and pension funds ............................

i. Of which, other

securities dealers ...................

6. UK insurance corporations and

pension funds ...................................

7. UK private and public

non-financial corporations ................

8. UK central government and UK

local authorities ................................

9. UK households and individuals ........

10. UK non-profit institutions serving

households ......................................

11. Non-UK residents ............................

Total value of financial derivatives reported .....................

9203 9204

The total value for forward type derivative contracts should equal the value reported at Question 75.aThe total value for option type derivative contracts should equal the value reported at Question 75.b

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Section H - Any substantial changes, completion time and your contact details

106. Have there been any substantial changes in the figures since the last reporting period?


No Go to question 108

X

X MRK0134

107. Please explain these changes below: 0003

MAE

108. How long has it taken you to complete this questionnaire?This question is voluntary

hrs minsABB0135 0136

109. Please write the details of the person we should contact if we have any queries regarding the informationreturned on this questionnaire.

Contact

Name QVA

0137

Position in

businessQVA

0138

Telephone

Number ExtQVE

0139

Fax

Number QVF0140

E-mail

address QVI

0141

Thank you for completing this questionnaire.

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Notes for financial derivatives held as assets and financial derivatives held as liabilities(questions 103 and 105)

Counterparty Sector Definitions

UK Money Market Trusts and FundsUK domiciled collective investment schemes who invest primarily in highly liquid instruments e.g. bank deposits,

shares or units in other money market funds, or transferable debt instruments with a residual maturity of not more

than one year. They can be either open ended or closed ended in structure and may include unit trusts or

investment funds.

UK Non Money Market Trusts and FundsUK domiciled collective investment schemes who invest primarily in long term financial assets, and non financial

assets e.g. real estate. They can be either open ended or closed ended in structure and may include unit trusts or

investment funds.

Other Financial Intermediaries, except Insurance Corporations and Pension FundsThis includes corporations who are engaged in the provision of financial services by incurring liabilities on their own

account in forms other than: currency; deposits; investment fund shares or units. It includes: corporations who

engage in the securitisation of assets; security and derivative dealers; and, central clearing organisations involved in

transactions relating to clearance and settlement of securities and derivatives.

Financial AuxiliariesThis covers those corporations that are engaged in activities associated with transactions in financial assets and

liabilities, or with providing the regulatory context for these transactions, but do not take ownership of the financial

assets and liabilities being transacted. It includes: insurance brokers; loan brokers; security brokers; investment

advisers; managers of pension funds and mutual funds; and, corporations that arrange derivative and hedging

instruments, but do not issue them themselves.

Captive Financial Institutions and Money LendersThis includes financial corporations and quasi-corporations that are neither engaged in financial intermediation nor

the provision of financial auxiliary services, and whose assets and liabilities tend not to be transacted on open

markets. It includes: holding companies; money lenders; and special purpose entities or vehicles that raise funds in

open markets for the use of their parent corporation.

UK Insurance Corporations and Pension FundsThis includes pension funds and corporations whose principal function is to provide insurance and/or reinsurance

services.

UK Private and public non financial corporationsThis includes corporations whose principal activity is the production of market goods or the provision of non financial

services.

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