ASIC Derivative Trade Repository Rules 2023 (Cth)

ASIC Derivative Trade Repository Rules 2023

I, Benjamin Cohn-Urbach, acting with the written consent of the Minister, make the following derivative trade repository rules under section 903A of the Corporations Act 2001. Dated this 22nd day of September 2023

Signed by Benjamin Cohn-Urbach as delegate of the Australian Securities and Investments Commission Contents

Chapter 1: Introduction Part 1.1 Preliminary Part 1.2 Interpretation Chapter 2: Obligations of Officers and Operators Part 2.1 Obligations of Officers Part 2.2 Manner in which the Trade Repository provides its services Part 2.3 Handling and use of Derivative Trade Data by Trade Repositories and their Officers and employees Part 2.4 Governance, management and resources Part 2.5 Disclosure of conditions (including fees) on which Trade Repositories provide their services Part 2.6 Reporting to Australian Regulators on matters related to Trade Repositories Part 2.7 Keeping of records, or the provision of records or other information, relating to compliance with (or determining whether there has been compliance with) the Rules Chapter 1: Introduction

Part 1.1 Preliminary

1.1.1 Enabling legislation ASIC makes this instrument under section 903A of the Corporations Act.

1.1.2 Title This instrument is the ASIC Derivative Trade Repository Rules 2023.

1.1.3 Commencement This instrument commences on the later of: (a) 1 October 2023; and (b) the day after it is registered on the Federal Register of Legislation.

1.1.4 Penalties for a contravention of these Rules The maximum pecuniary penalty payable for a contravention of a provision of these Rules is an amount determined by the Court under section 1317G of the Corporations Act.

Part 1.2 Interpretation

1.2.1 References to time In these Rules, unless the contrary intention appears, a reference to time is to Australian Eastern Standard Time or Australian Eastern Daylight Time, as relevant, in Sydney, Australia.