| 2025-09-09 |
Liberty Financial Group, Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
GBP |
Yes |
83 - 90 Days |
4934679.56 |
Day 55 |
Liberty Financial Group, Inc. |
Retail Banking |
GSE |
No |
4300377.49 |
Yes |
Day 2 |
Unsecured |
Yes |
44.92 |
| 2025-09-09 |
Liberty Financial Group, Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
CAD |
No |
Day 30 |
1334777.84 |
Day 54 |
Liberty National Bank |
Securities Services |
Central Bank |
No |
1429140.86 |
Yes |
Day 48 |
Unsecured |
No |
31.52 |
| 2025-09-09 |
Liberty Mortgage Services Corp. |
I.U.4 |
I.U.4: Excess Operational Balances |
GBP |
No |
>5 Yr |
291590.26 |
Day 59 |
Liberty National Bank |
Foreign Exchange Desk |
Other Supervised Non-Bank Financial Entity |
Yes |
346020.11 |
Yes |
Day 27 |
Unsecured |
No |
42.74 |
| 2025-09-09 |
Liberty Mortgage Services Corp. |
I.U.4 |
I.U.4: Excess Operational Balances |
EUR |
Yes |
Day 8 |
2181476.61 |
Day 41 |
Liberty National Bank |
Treasury Operations |
Other |
No |
2314932.35 |
No |
Day 43 |
Unsecured |
No |
49.94 |
| 2025-09-09 |
Liberty Financial Group, Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
USD |
No |
Day 55 |
1815361.63 |
>4 Yr <= 5 Yr |
Liberty National Bank |
Foreign Exchange Desk |
Bank |
Yes |
1919872.41 |
Yes |
Day 57 |
Unsecured |
No |
15.15 |
| 2025-09-09 |
Liberty Financial Group, Inc. - Parent Only |
I.U.4 |
I.U.4: Excess Operational Balances |
EUR |
No |
Day 49 |
4054377.08 |
Day 9 |
Liberty Capital Markets Inc. |
Client Treasury Services |
Small Business |
No |
4267307.43 |
Yes |
Day 45 |
Unsecured |
No |
46.85 |
| 2025-09-09 |
Liberty Mortgage Services Corp. |
I.U.4 |
I.U.4: Excess Operational Balances |
EUR |
No |
Day 48 |
80657.02 |
Day 46 |
Liberty Mortgage Services Corp. |
Treasury Operations |
PSE |
Yes |
83469.35 |
Yes |
>2 Yr <= 3 Yr |
Unsecured |
No |
46.24 |
| 2025-09-09 |
Liberty International Finance Ltd. |
I.U.4 |
I.U.4: Excess Operational Balances |
JPY |
Yes |
Day 34 |
104799.36 |
61 - 67 Days |
Liberty International Finance Ltd. |
Global Markets |
Broker-Dealer |
Yes |
102737.15 |
No |
Day 38 |
Unsecured |
Yes |
22.66 |
| 2025-09-09 |
Liberty National Bank |
I.U.4 |
I.U.4: Excess Operational Balances |
USD |
No |
Perpetual |
4982976.98 |
83 - 90 Days |
Liberty National Bank |
Wealth Management |
PSE |
No |
4005075.35 |
No |
Day 9 |
Unsecured |
No |
47.44 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
CAD |
Yes |
Day 8 |
74494.26 |
Day 10 |
Liberty National Bank |
Capital Markets Trading |
Bank |
No |
76132.24 |
No |
Day 48 |
Unsecured |
Yes |
43.50 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
EUR |
No |
Day 5 |
3479917.25 |
121 - 150 Days |
Liberty Mortgage Services Corp. |
Treasury Operations |
Retail |
No |
3169993.15 |
No |
Day 43 |
Unsecured |
Yes |
40.41 |
| 2025-09-09 |
Liberty National Bank |
I.U.4 |
I.U.4: Excess Operational Balances |
USD |
Yes |
Day 18 |
1604300.68 |
Day 33 |
Liberty National Bank |
Securities Services |
Other Supervised Non-Bank Financial Entity |
Yes |
1802182.97 |
Yes |
Day 30 |
Unsecured |
No |
40.76 |
| 2025-09-09 |
Liberty International Finance Ltd. |
I.U.4 |
I.U.4: Excess Operational Balances |
GBP |
No |
Day 6 |
4385002.02 |
61 - 67 Days |
Liberty National Bank |
Investment Banking |
MDB |
Yes |
4271989.27 |
No |
Day 12 |
Unsecured |
No |
0.35 |
| 2025-09-09 |
Liberty Financial Group, Inc. - Parent Only |
I.U.4 |
I.U.4: Excess Operational Balances |
CAD |
Yes |
Day 57 |
4136023.21 |
Day 11 |
Liberty Financial Group, Inc. - Parent Only |
Retail Banking |
Retail |
Yes |
4546285.66 |
No |
Day 50 |
Unsecured |
Yes |
41.00 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
EUR |
Yes |
Day 60 |
3554872.52 |
Day 39 |
Liberty International Finance Ltd. |
Securities Services |
Other Supranational |
Yes |
3704022.21 |
Yes |
Day 5 |
Unsecured |
Yes |
39.31 |
| 2025-09-09 |
Liberty Financial Group, Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
JPY |
Yes |
Day 3 |
2952996.02 |
83 - 90 Days |
Liberty Financial Group, Inc. |
Wealth Management |
Non-Regulated Fund |
Yes |
2481336.40 |
Yes |
Day 21 |
Unsecured |
No |
9.18 |
| 2025-09-09 |
Liberty Mortgage Services Corp. |
I.U.4 |
I.U.4: Excess Operational Balances |
USD |
Yes |
Day 38 |
123192.54 |
Day 5 |
Liberty Financial Group, Inc. - Parent Only |
Treasury Operations |
PSE |
Yes |
118914.68 |
Yes |
Day 54 |
Unsecured |
No |
32.23 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
CAD |
Yes |
91 - 120 Days |
1670503.51 |
Day 32 |
Liberty National Bank |
Foreign Exchange Desk |
Non-Financial Corporate |
No |
1916555.78 |
No |
Day 50 |
Unsecured |
No |
16.96 |
| 2025-09-09 |
Liberty Mortgage Services Corp. |
I.U.4 |
I.U.4: Excess Operational Balances |
EUR |
Yes |
68 - 74 Days |
4426709.20 |
Day 45 |
Liberty National Bank |
Mortgage Lending |
PSE |
Yes |
3710362.41 |
Yes |
>5 Yr |
Unsecured |
No |
34.27 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
JPY |
Yes |
75 - 82 Days |
561094.26 |
180 - 270 Days |
Liberty National Bank |
Foreign Exchange Desk |
Bank |
Yes |
660410.44 |
Yes |
Day 15 |
Unsecured |
No |
10.81 |
| 2025-09-09 |
Liberty Financial Group, Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
CAD |
No |
Day 24 |
3797873.08 |
151 - 179 Days |
Liberty International Finance Ltd. |
Capital Markets Trading |
Sovereign |
No |
4119921.60 |
Yes |
151 - 179 Days |
Unsecured |
No |
13.22 |
| 2025-09-09 |
Liberty National Bank |
I.U.4 |
I.U.4: Excess Operational Balances |
GBP |
Yes |
75 - 82 Days |
2233005.09 |
Day 5 |
Liberty International Finance Ltd. |
Foreign Exchange Desk |
MDB |
Yes |
2224624.82 |
Yes |
Day 17 |
Unsecured |
Yes |
23.10 |
| 2025-09-09 |
Liberty Capital Markets Inc. |
I.U.4 |
I.U.4: Excess Operational Balances |
EUR |
No |
Day 59 |
292995.65 |
Day 12 |
Liberty National Bank |
Global Markets |
Other |
Yes |
339893.87 |
Yes |
Day 51 |
Unsecured |
No |
12.43 |
| 2025-09-09 |
Liberty Financial Group, Inc. - Parent Only |
I.U.4 |
I.U.4: Excess Operational Balances |
JPY |
No |
Perpetual |
1175484.89 |
Day 28 |
Liberty Financial Group, Inc. |
Wealth Management |
Pension Fund |
No |
1123468.86 |
Yes |
Day 21 |
Unsecured |
Yes |
38.63 |
| 2025-09-09 |
Liberty International Finance Ltd. |
I.U.4 |
I.U.4: Excess Operational Balances |
GBP |
No |
68 - 74 Days |
4508614.36 |
Day 8 |
Liberty International Finance Ltd. |
Foreign Exchange Desk |
Small Business |
Yes |
4610884.50 |
No |
Day 60 |
Unsecured |
Yes |
5.99 |