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Profit & Loss StatementP&L data quality: 0% (?)
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in million USD FY '08FY '09FY '10FY '11FY '12FY '13FY '14FY '15
Commissions and fees
655
532
469
446
381
409
436
406
Recurring
88
87
93
111
110
104
104
107
Other
20
14
9
15
14
18
20
122
Total revenues
763
633
571
572
504
531
560
635
Compensation and employee benefits
257
236
216
219
196
201
216
209
Transaction processing
95
96
85
92
81
84
86
91
Occupancy and equipment
58
60
60
60
63
69
60
57
Telecommunications and data processing services
53
55
53
58
60
54
51
52
Other general and administrative
98
83
94
91
89
77
79
102
Goodwill and other asset impairment
0
0
5
229
274
0
0
0
Restructuring charges
0
25
4
24
9
0
0
0
Acquisition-related costs
0
0
2
3
0
0
0
0
Interest expense
7
3
1
2
3
3
2
2
Total expenses
567
557
521
779
775
488
495
514
Income before income tax expense
196
76
49
-207
-270
43
65
121
Income tax expense
81
34
25
-27
-23
12
14
30
Net income
115
43
24
-180
-248
31
51
92
Remarks
restated on Nov 30, -1 n/a
calculated values,
restated on Nov 30, -1 n/a
calculated values,
restated on Nov 30, -1 n/a
calculated values,
restated on Nov 30, -1 n/a
calculated values,
restated on Nov 30, -1 n/a
calculated values,
restated on Feb 29, 2016 n/a
calculated values,
restated on Feb 29, 2016 n/a
calculated values,
restated on Nov 30, -1 n/a
calculated values,
Balance SheetBS data quality: 0% (?)
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No data available for the selected time periods
in million USD FY '08FY '09FY '10FY '11FY '12FY '13FY '14FY '15
Assets
Cash and cash equivalents
n/a
331
317
284
246
262
275
331
Cash restricted or segregated under regulations and other
n/a
96
69
71
61
71
38
38
Deposits with clearing organizations
n/a
15
14
26
29
75
73
71
Securities owned, at fair value
n/a
7
26
5
10
7
12
6
Receivables from brokers, dealers and clearing organizations
n/a
364
865
871
1,107
866
645
1,037
Receivables from customers
n/a
298
606
473
547
73
108
49
Premises and equipment, net
n/a
41
39
43
55
66
60
55
Capitalized Software, Net
n/a
69
58
51
44
38
38
39
Goodwill
n/a
425
468
274
0
0
13
12
Intangibles, net
n/a
27
37
40
35
31
32
25
Income taxes receivable
n/a
14
6
7
7
0
0
0
Deferred taxes
n/a
0
0
0
0
0
37
24
Deferred taxes
n/a
3
5
16
39
34
50
0
Other assets
n/a
12
20
16
16
16
20
23
Total assets
n/a
1,703
2,531
2,178
2,197
1,539
1,351
1,709
Liabilities and owners' equity
Accounts payable and accrued expenses
n/a
209 209496000
195 195109000
181 181224000
165 165062000
176 175931000
199 199211000
170 169530000
Short-term bank loans
n/a
0 0
0 0
2 1606000
22 22154000
74 73539000
78 78360000
82 81934000
Payables to brokers, dealers and clearing organizations
n/a
249 248664000
1,140 1139958000
1,080 1079773000
1,337 1337459000
807 807320000
600 600041000
961 960559000
Payables to customers
n/a
299 299200000
272 272027000
208 207738000
227 226892000
17 16797000
11 11132000
10 9957000
Securities sold, not yet purchased, at fair value
n/a
0 31000
19 19362000
0 438000
5 5249000
3 2953000
8 8253000
3 2637000
Income taxes payable
n/a
14 14113000
16 16215000
11 11460000
11 10608000
15 14805000
20 19772000
17 17017000
Deferred taxes
n/a
0 0
0 0
0 0
0 0
0 0
1 703000
0 0
Deferred taxes
n/a
17 16999000
18 18114000
1 719000
0 293000
0 363000
14 13797000
0 0
Long-term Debt.
n/a
47 46900000
0 0
0 0
0 0
0 0
0 0
0 0
Term debt
n/a
0 0
0 0
24 23997000
19 19272000
30 30332000
18 17781000
13 12567000
Total liabilities
n/a
835 835403000
1,661 1660785000
1,507 1506955000
1,787 1786989000
1,122 1122040000
935 935253000
1,254 1254201000
Commitments and contingencies
n/a
0 0
0 0
0 0
0 0
0 0
0 0
0 0
Preferred stock
n/a
0 0
0 0
0 0
0 0
0 0
0 0
0 0
Common stock
n/a
1 517000
1 518000
1 519000
1 520000
1 522000
1 522000
1 523000
Additional paid-in capital
n/a
233 233374000
246 246085000
249 249469000
245 245002000
240 240057000
240 240135000
239 239090000
Retained earnings
n/a
809 809153000
833 833133000
653 653344000
405 405485000
437 436570000
487 487462000
572 571626000
Common stock held in treasury, at cost
n/a
-183 -182743000
-220 -220161000
-241 -240559000
-253 -253111000
-268 -268253000
-307 -306629000
-337 -336923000
Accumulated other comprehensive loss (net of tax)
n/a
7 7399000
10 10493000
8 8341000
12 11874000
9 8536000
-6 -5894000
-19 -19495000
Total stockholders' equity
n/a
868 867700000
870 870068000
671 671114000
410 409770000
417 417432000
416 415596000
455 454821000
Total liabilities and stockholders' equity
n/a
1,703 1703103000
2,531 2530853000
2,178 2178069000
2,197 2196759000
1,539 1539472000
1,351 1350849000
1,709 1709022000
Remarks restated on n/a restated on Nov 30, -1 n/a restated on Feb 28, 2012 n/a restated on Nov 30, -1 n/a restated on Nov 30, -1 n/a restated on Mar 13, 2015 n/a restated on Feb 29, 2016 n/a restated on Aug 9, 2016 n/a
Cash Flow StatementCF data quality: 0% (?)
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Reason:
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No data available for the selected time periods
in million USD FY '08FY '09FY '10FY '11FY '12FY '13FY '14FY '15
Net income
0
43
24
-180
-248
31
51
92
Net Income (Loss), Including Portion Attributable to Noncontrolling Interest
115
0
0
0
0
0
0
0
Gain on sale of energy research business
0
0
0
0
0
0
0
-108
Depreciation and amortization
54
61
62
59
56
54
49
44
Loss on securities owned
2
0
0
0
0
0
0
0
Deferred income tax expense (benefit)
13
9
-4
-33
-27
3
-5
13
Provision for doubtful accounts
1
-2
0
0
1
0
-1
0
Share-based compensation
10
16
18
20
16
14
15
17
Capitalized Computer Software, Impairments
0
0
6
0
0
0
0
0
Fixed asset disposal
0
0
0
0
0
1
0
0
Non-cash restructuring charges, net
0
6
1
2
1
0
0
0
Goodwill and other asset impairment
0
0
5
229
274
0
0
0
Cash restricted or segregated under regulations and other
-6
-18
26
-3
12
-9
-1
0
Deposits with clearing organizations
4
28
1
-11
-4
-46
38
-1
Securities owned, at fair value
0
0
-18
18
-5
2
-5
6
Receivables from brokers, dealers and clearing organizations
169
-11
-503
-7
-164
44
211
-405
Receivables from customers
305
27
-290
135
4
-63
-37
54
Accounts payable and accrued expenses
37
-16
-32
-18
-23
10
27
-19
Payables to brokers, dealers and clearing organizations
-212
2
889
-60
126
-48
-204
366
Payables to customers
-109
-18
-38
-65
1
43
-5
-1
Securities sold, not yet purchased, at fair value
2
-2
18
-19
5
-2
6
-5
Income taxes receivable/payable
3
-25
10
-6
-1
12
6
2
Excess tax benefit
-3
0
0
0
0
-1
-1
-3
Other, net
-6
0
-1
3
2
2
-3
-4
Net cash provided by operating activities
380
97
176
67
27
45
143
49
Acquisition of subsidiaries and minority interests, net of cash acquired
-6
-2
-49
-36
0
0
0
0
Proceeds from sale of energy research business, net of deal costs
0
0
0
0
0
0
0
111
Investment in unconsolidated affiliates
0
0
0
0
0
0
-3
0
Acquisition of subsidiaries and minority interests, net of cash acquired
0
0
0
0
0
0
-18
0
Repayments of Bank Debt
-77
-25
0
0
0
0
0
0
Capital purchases
-26
-15
-19
-23
-33
-34
-14
-12
Capitalization of software development costs
-41
-43
-34
-29
-25
-23
-26
-26
Proceeds from sale of investments
3
0
0
2
0
0
0
0
Net cash provided by (used in) investing activities
-70
-60
-102
-86
-58
-57
-61
73
Repayments of term loans
-38
-48
-47
-4
-7
-10
-13
-9
Proceeds of short-term bank loans, net
0
0
0
2
21
51
5
4
Proceeds from term loans
0
0
0
25
0
0
0
0
Proceeds from interim funding facility
0
0
0
0
1
0
0
0
Proceeds from sales-lease back transactions
0
0
0
3
2
21
0
0
Excess tax benefit
3
0
0
0
0
1
1
3
Debt issuance costs
0
0
0
-3
0
0
-1
0
Common stock issued
7
11
11
10
3
0
0
2
Common stock repurchased
-23
0
-50
-39
-23
-28
-48
-42
Dividends paid
0
0
0
0
0
0
0
-7
Shares withheld for net settlements of share-based awards
-3
-3
-4
-6
-3
-5
-6
-9
Net cash (used in) provided by financing activities
-130
-64
-90
-12
-8
30
-62
-59
Effect of exchange rate changes on cash and cash equivalents
-10
5
3
-1
1
-3
-6
-8
Net increase in cash and cash equivalents
169
-22
-14
-33
-38
16
13
55
Remarks
restated on Nov 30, -1 n/a
calculated values,
restated on Nov 30, -1 n/a
calculated values,
restated on Mar 6, 2013 n/a
calculated values,
restated on Apr 11, 2014 n/a
calculated values,
restated on Mar 13, 2015 n/a
calculated values,
restated on Feb 29, 2016 n/a
calculated values,
restated on Feb 29, 2016 n/a
calculated values,
restated on Nov 30, -1 n/a
calculated values,
Sumo