CP 156 Retail OTC derivative issuers - Financial requirements

Released 9 May 2011. Comments closed 4 July 2011.

This consultation paper sets out ASIC’s proposals on the financial requirements to apply to issuers of over-the-counter (OTC) derivatives to retail clients.

The purpose of this paper is to seek the views of issuers and their clients, investors, legal advisers and other interested parties on the proposals we have developed about financial requirements for issuers.

Download the paper (PDF) | Read the media release | Read the report on submissions