Report of Assets and Liabilities of FFIEC 002 Legal Title of Branch or Agency at close of business on December 31, 2013 Page 4 of 30 Schedule RAL — Assets and Liabilities All schedules are to be reported in thousands of U.S. dollars. Unless otherwise indicated, report the amount outstanding as of the last calendar day of the quarter. (Column A) (Column B) Total Reporting IBF Only Branch or Agency Including Its IBF Dollar Amounts in Thousands RCFD Bil | Mil | Thou RCFN Bil | Mil | Thou Assets 1. Claims on nonrelated Parties: (Excludes all claims on related depository institutions but includes claims on related nondepository institutions. See instructions for coverage and treatment of "nonrelated" and "related" institutions.) a. Cash and balances due from depository institutions (from Schedule A, item 6)__________________________________________________________ 0010 0010 1.a. b. U.S. Government securities: (1) U.S. Treasury securities________________________________________________________ 0260 1.b.(1) (2) U.S. Government agency obligations______________________________________________ 0371 1.b.(2) c. Other bonds, notes, debentures, and corporate stock (including state and local securities): (1) Securities of foreign governments and official institutions_____________________________ A003 A003 1.c.(1) (2) Mortgage-backed securities: (a) Issued or guaranteed by U.S. Government agencies___________________________ C416 C416 1.c.(2)(a) (b) Other__________________________________________________________________ C417 C417 1.c.(2)(b) (3) Other asset-backed securities___________________________________________________ C036 C036 1.c.(3) (4) All other____________________________________________________________________ C037 C037 1.c.(4) d. Federal funds sold and securities purchased under agreements to resell: (1) Federal funds sold: (a) With commercial banks in the U.S.___________________________________________ C412 C412 1.d.(1)(a) (b) With nonbank brokers and dealers in securities __________________________________ F856 F856 1.d.(1)(b) (c) With others__________________________________________________________ C413 C413 1.d.(1)(c) (2) Securities purchased under agreements to resell: (a) With commercial banks in the U.S._______________________________________ C414 C414 1.d.(2)(a) (b) With nonbank brokers and dealers in securities __________________________________ F857 F857 1.d.(2)(b) (c) With others_____________________________________________________________ C415 C415 1.d.(2)(c) e. Loans and leases, net of unearned income (from Schedule C, item 11)______________________ 2122 2122 1.e. f. Trading assets: (1) U.S. Treasury and Agency securities___________________________________________ K479 K479 1.f.(1) (2) Mortgage-backed securities: (a) Issued or guaranteed by U.S. Government agencies_____________________________ K298 K298 1.f.(2)(a) (b) Other_____________________________________________________________ 3536 3536 1.f.(2)(b) (3) Other asset-backed securities___________________________________________________ K299 K299 1.f.(3) (4) Other securities________________________________________________________ L193 L193 1.f.(4) (5) Other trading assets___________________________________________________ K302 K302 1.f.(5) g. Not applicable h. Other assets including other claims on nonrelated parties_______________________________________ 2151 2151 1.h. i. Total claims on nonrelated parties (sum of items 1.a through 1.h)____________________________ 2171 2171 1.i. 2. Net due from related depository institutions: a. For the reporting branch or agency including its IBF: Net due from head office and other related depository institutions (items 4.g minus item 1.i of Column A if item 4.g is greater than item 1.i; otherwise enter -0-)______________________________________________________________________ 2154 2.a. b. For the IBF of the reporting branch or agency: Net due from establishing entity, head office and other related depository institutions (item 4.g minus item 1.i of Column B if item 4.g is greater than item 1.i; otherwise enter -0-)___________________________________________________ 2154 2.b. COMMONWEALTH BANK OF AUSTRALIA 4,123,885 25 599,920 0 0 0 0 0 0 0 0 0 23,000 0 0 0 0 0 0 0 0 0 0 0 0 0 866,742 160,548 0 0 0 0 0 0 0 0 0 0 295,417 0 8,365 304 5,917,329 160,877 6,346,514 2,930,457
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Report of Assets and Liabilities ofFFIEC 002
Legal Title of Branch or Agency at close of business on December 31, 2013 Page 4 of 30
Schedule RAL — Assets and Liabilities
All schedules are to be reported in thousands of U.S. dollars. Unless otherwise indicated, report the amount outstanding as of
the last calendar day of the quarter. (Column A) (Column B)
Total Reporting IBF Only
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands RCFD Bil | Mil | Thou RCFN Bil | Mil | Thou
Assets
1. Claims on nonrelated Parties:
(Excludes all claims on related depository institutions but includes claims
on related nondepository institutions. See instructions for coverage and
treatment of "nonrelated" and "related" institutions.)
a. Cash and balances due from depository institutions
(from Schedule A, item 6)__________________________________________________________0010 0010 1.a.
b. U.S. Government securities:
(1) U.S. Treasury securities________________________________________________________0260 1.b.(1)
(2) U.S. Government agency obligations______________________________________________0371 1.b.(2)
c. Other bonds, notes, debentures, and corporate stock
(including state and local securities):
(1) Securities of foreign governments and official institutions_____________________________A003 A003 1.c.(1)
(2) Mortgage-backed securities:
(a) Issued or guaranteed by U.S. Government agencies___________________________C416 C416 1.c.(2)(a)
3. Total foreign deposits, including interest accrued and unpaid thereon RCFN
(included in item 2 above) ______________________________________________________________________________F234 3
RCFD
4. Average consolidated total assets for the calendar quarter_______________________________________________________K652 4
a. Averaging method used (for daily averaging, enter 1, for weekly Number
averaging, enter 2)_____________________________________________________________K653 4.a
5. Average tangible equity for the calendar quarter(1) ______________________________________________________________________K654 5
6. Holdings of long-term unsecured debt issued by other FDIC-insured depository institutions_______________________ K655 6
(1) See instructions for averaging methods. Tangible equity is defined as eligible assets (determined in accordance with Section
347.210 of the FDIC’s regulations) less the book value of liabilities (exclusive of liabilities due to the foreign bank’s head office,
other branches, agencies, offices, or wholly owned subsidiaries).
Memoranda Reporting Branch
Excluding its IBF
Dollar Amounts in Thousands RCON Bil | Mil | Thou
1. Total deposit liabilities of the branch (including related interest accrued and unpaid) less
allowable exclusions (sum of Memorandum items 1.a.(1), 1.b.(1), 1.c.(1), and 1.d.(1) must equal
Schedule O, item 1 less item 2):
a. Deposit accounts (excluding retirement accounts) of $250,000 or less: (1)
(1) Amount of deposit accounts (excluding retirement accounts) of $250,000 or less___________________________F049 M.1.a.(1)
(2) Number of deposit accounts (excluding retirement accounts) Number
of $250,000 or less (to be completed for the June report only)_______________________F050 M.1.a.(2)
b. Deposit accounts (excluding retirement accounts) of more than $250,000: (1)
(1) Amount of deposit accounts (excluding retirement accounts) of more than $250,000 ________________________F051 M.1.b.(1)
(2) Number of deposit accounts (excluding retirement accounts) Number
of more than $250,000______________________________________________________F052 M.1.b.(2)
c. Retirement deposit accounts of $250,000 or less: (1)
(1) Amount of retirement deposit accounts of $250,000 or less ____________________________________________F045 M.1.c.(1)
(2) Number of retirement deposit accounts of $250,000 or less Number
(to be completed for the June report only) _______________________________________F046 M.1.c.(2)
d. Retirement deposit accounts of more than $250,000: (1)
(1) Amount of retirement deposit accounts of more than $250,000_______________________________________ F047 M.1.d.(1)
Number
(2) Number of retirement deposit accounts of more than $250,000 _______________________F048 M.1.d.(2)
1. The dollar amounts used as the basis for reporting in Memoranda items 1.a. through 1.d. reflect the deposit insurance limits in effect on the
report date.
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
FFIEC 002
Page 23 of 30
Schedule O — Continued
Reporting Branch
Dollar Amounts in Thousands Excluding its IBF
Memorandum item 2 is to be completed by branches with $1 billion or more in total RCON Bil | Mil | Thou
claims on nonrelated parties. (2)
2. Estimated amount of uninsured deposits in the branch, including related interest
accured and unpaid. (3) ________________________________________________________________________________5597 M.2.
3. Preferred deposits (to be completed for the December report only) _________________________________________ 5590 M.3.
4. Not Applicable
Memorandum items 5.a and 5.b are to be completed by all branches.
5. Noninterest-bearing transaction accounts (as defined in Section 343 of the Dodd-Frank Act)
of more than $250,000 (see instructions):
a. Amount of noninterest-bearing transaction accounts of more than $250,000 ____________________________ J944 M.5.a
b. Number of noninterest-bearing transaction accounts of more Number
than $250,000 ____________________________________________________________ J945 M.5.b
2. The $1 billion size test is generally based on the total claims on nonrelated parties (Schedule RAL, item 1.i, column A) reported on the
June 30, 2012, Report of Assets and Liabilities of U.S. Branches and Agencies of Foreign Banks.
3. Uninsured deposits should be estimated based on the deposit insurance limits set forth in Memorandum items 1.a through 1.d
Schedule P — Other Borrowed Money
NOTE: Exclude all transactions with related depository institutions. (Column A) (Column B)
Total Reporting IBF ONLY
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands RCFD Bil | Mil | Thou RCFN Bil | Mil | Thou
1. Owed to nonrelated commercial banks in the U.S. (including their IBFs):
a. Owed to U.S. offices of nonrelated U.S. banks_________________________________________3312 3312 1.a.
b. Owed to U.S. branches and agencies of nonrelated foreign banks_________________________3313 3313 1.b.
2. Owed to nonrelated banks in foreign countries:
a. Owed to foreign branches of nonrelated U.S. banks____________________________________3314 3314 2.a.
b. Owed to foreign offices of nonrelated foreign banks____________________________________3315 3315 2.b.
3. Owed to others___________________________________________________________________2869 2869 3.
RCXX RCXY
4. Total (sum of items 1 through 3) (must equal Schedule RAL, item 4.c)_______________________3190 3190 4.
Memorandum
1. Immediately available funds with a maturity greater than one day included RCFD
in other borrowed money___________________________________________________________2805 M.1.
N/A
N/A
N/A
N/A
0 0
0 0
0 0
748 748
5,240,166 0
5,240,914 748
0
FFIEC 002
Page 24 of 30
Schedule Q—Assets and Liabilities Measured at Fair Value on a Recurring Basis Schedule Q is to be completed by branches and agencies that:
(1) Reported total assets of $500 million or more as of the preceding December 31; or
(2) Reported total assests of less than $500 million as of the preceding December 31 and either:
(a) Have elected to report financial instruments or servicing assets and liabilities at fair value under a fair value option with changes in fair value recognized in
earnings, or
(b) Reported trading assets of $2 million or more in any of the four preceding calendar quarters.
(Column A) (Column B) (Column C) (Column D) (Column E)
Total Fair Value LESS: Amounts Level 1 Fair Value Level 2 Fair Value Level 3 Fair Value
Reported on Netted in the Measurements Measurements Measurements
Schedule RAL Determination
of Total Fair Value Dollar Amounts in Thousands RCXX Bil | Mil | Thou RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou
6. All other assets______________________ G391 G392 G395 G396 G804 6.
7. Total assets measured at fair
value on a recurring basis (sum of
items 1 through 5.b plus item 6)____________G502 G503 G504 G505 G506 7.
622,920 0 622,920 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
295,417 0 0 295,417 0
0 0 0 0 0
0 0 0 0 0
784 0 0 784 0
919,121 0 622,920 296,201 0
FFIEC 002
Schedule Q — Continued Page 24a of 30
(Column A) (Column B) (Column C) (Column D) (Column E)
Total Fair Value LESS: Amounts Level 1 Fair Value Level 2 Fair Value Level 3 Fair Value
Reported on Netted in the Measurements Measurements Measurements
Schedule RAL Determination
of Total Fair Value Dollar Amounts in Thousands RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou
to repurchase_________________________________________________G507 G508 G509 G510 G511 9
10. Trading liablities: RCXX
a. Derivative liabilities_____________________________3547 G512 G513 G514 G515 10.a
RCFD
b. Other trading liabilities___________________________G516 G517 G518 G519 G520 10.b
11. Other borrowed money_______________________________G521 G522 G523 G524 G525 11
12. Subordinated notes
and debentures______________________________G526 G527 G528 G529 G530 12
13. All other liabilities_______________________________G805 G806 G807 G808 G809 13
14. Total liabilities measured at
fair value on a recurring basis
(sum of items 8 through 13)______________________________G531 G532 G533 G534 G535 14
0 0 0 0 0
0 0 0 0 0
609,733 0 0 609,733 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
6,112 0 0 6,112 0
615,845 0 0 615,845 0
FFIEC 002
Schedule Q — Continued Page 25 of 30
(Column A) (Column B) (Column C) (Column D) (Column E)
Total Fair Value LESS: Amounts Level 1 Fair Value Level 2 Fair Value Level 3 Fair Value
Reported on Netted in the Measurements Measurements Measurements
Schedule RAL Determination
of Total Fair ValueDollar Amounts in Thousands RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou RCFD Bil | Mil | Thou
Memoranda
1. All other assets (itemize and describe
amounts included in Schedule
Q, item 6, that are greater
than $25,000 and exceed
25% of item 6)
a. Mortgage servicing assets _____________________________________________________G536 G537 G538 G539 G540 M.1.a
b. Nontrading derivative assets _____________________________________________________G541 G542 G543 G544 G545 M.1.b
TEXT
c. G546 G546 G547 G548 G549 G550 M.1.c
d. G551 G551 G552 G553 G554 G555 M.1.d
e. G556 G556 G557 G558 G559 G560 M.1.e
f. G561 G561 G562 G563 G564 G565 M.1.f
2. All other liabilities (itemize and
describe amounts included in
Schedule Q, item 13, that
are greater than $25,000 and
exceed 25% of item 13):
a. Loan commitments (not
accounted for as derivatives)____________F261 F689 F697 F262 F263 M.2.a
b. Nontrading derivative liabilities _____________________________________________________G566 G567 G568 G569 G570 M.2.b
TEXT
c. G571 G571 G572 G573 G574 G575 M.2.c
d. G576 G576 G577 G578 G579 G580 M.2.d
e. G581 G581 G582 G583 G584 G585 M.2.e
f. G586 G586 G587 G588 G589 G590 M.2.f
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
0 0 0 0 0
FFIEC 002
Schedule S — Servicing, Securitization and Asset Sale Activities Page 26 of 30
(Column A) (Column B) (Column C) (Column D) (Column E) (Column F) (Column G)
1-4 Family Home Credit Auto Other Commercial All Other Loans,
Residential Equity Card Loans Consumer and Industrial All Leases,
Loans Lines Receivables Loans Loans and All Other
Assets
Dollar Amounts in Thousands Bil | Mil | Thou Bil | Mil | Thou Bil | Mil | Thou Bil | Mil | Thou Bil | Mil | Thou Bil | Mil | Thou Bil | Mil | Thou
Securitization Activities
1. Outstanding principal balance of
assets sold and securitized by the
reporting institution with servicing
retained or with recourse or other RCFD B705 RCFD B706 RCFD B707 RCFD B708 RCFD B709 RCFD B710 RCFD B711
reported in item 11____________________________ 12.
Memorandum Dollar Amounts in Thousands RCFD Bil | Mil | Thou
1. Asset-backed commercial paper conduits:
a. Maximum amount of credit exposure arising form credit enhancements provided to conduit structures in the form of standby letters of
credit, subordinated securities, and other enhancements:
(1) Conduits sponsored by the reporting institution or related institution________________________________________________________________________________________B806 M.1.a.(1)
(2) Conduits sponsored by other unrelated institutions_______________________________________________________________________________________________________B807 M.1.a.(2)
b. Unused commitments to provide liquidity to conduit structures:
(1) Conduits sponsored by the reporting institution or related institution__________________________________________________________________________________________B808 M.1.b.(1)
(2) Conduits sponsored by other unrelated institutions________________________________________________________________________________________________________B809 M.1.b.(2)
0 0 0 0 0 0 0
0 0 0 0 0 0 0
0 0 0 0 0 0 0
0 0 0 0 0 0 0
0
0
0
0
FFIEC 002
Page 28 of 30
Schedule T — Fiduciary and Related ServicesSchedule T is to be completed annually as of the December 31 report date.
RCFD Yes / No
1. Does the institution have fiduciary powers? (If "NO," do not complete Schedule T.)___________________________________A345 1
RCFD Yes / No
2. Does the institution exercise the fiduciary powers it has been granted?____________________________________________A346 2
3. Does the institution have any fiduciary or related activity (in the form of assets or accounts)? RCFD Yes / No
(If "NO," do not complete the rest of Schedule T.)____________________________________________________________B867 3
If the answer to item 3 is "YES," complete all applicable items of Schedule T.
(Column A) (Column B) (Column C) (Column D)
Managed Non-Managed Number of Number of
Assets Assets Managed Non-Managed
Accounts Accounts
Dollar Amounts in Thousands Tril|Bil|Mil|Thou Tril|Bil|Mil|Thou
FIDUCIARY AND RELATED ASSETS RCFD B868 RCFD B869 RCFD B870 RCFD B871
4. Personal trust and agency accounts______________________ 4
5. Retirement related trust and
agency accounts:
a. Employee benefit - defined RCFD B872 RCFD B873 RCFD B874 RCFD B875