RG 212 Client money relating to dealing in OTC derivatives
Issued 4 April 2018
This is a guide for Australian financial services (AFS) licensees who are required to hold client money and for investors who pay money to an AFS licensee for the purpose of trading in derivatives in the over-the-counter (OTC) market.
This guide provides an overview of the client money provisions in Div 2 of Pt 7.8 of the Corporations Act 2001 (the client money provisions) generally and, in particular, the specific provisions that relate to derivatives. It also seeks better disclosure in connection with client money.