Derivative transaction reporting

The ASIC Derivative Transaction Rules (Reporting) 2013 set out the requirements for counterparties to report derivative transaction and position information to derivative trade repositories.

Rules ASIC Derivative Transaction Rules (Reporting) 2013
Amendment

ASIC Derivative Transaction Rules (Reporting) Amendment 2015 (No. 1)

ASIC Market Integrity Rules (Securities Markets and other ASIC-Made Rules) Amendment Instrument 2022/117

Guidance Regulatory Guide 251 Derivative transaction reporting (RG 251)
Exemptions Exemption relief from the ASIC Derivative Transaction Rules (Reporting) 2013
FAQs Frequently asked questions
Upcoming Rules and Exemptions changes Current ASIC work on changes to the Rules and Exemptions
Prior consultations
  • Consultation Paper 334 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): First consultation (CP 334)
  • Consultation Paper 221 OTC Derivatives Reform: Proposed amendments to the ASIC Derivative Transaction Rules (Reporting) 2013 (CP 221)
  • Report 422 Response to submissions on CP 221 Proposed amendments to ASIC Derivative Transaction Rules (Reporting) 2013 (REP 422)
  • Consultation Paper 205 Derivative transaction reporting (CP 205)
  • Report 357 Response to submissions on CP 205 Derivative transaction reporting (REP 357)

Mandatory lifecycle reporting of OTC equity derivatives, CFDs and margin FX

On 30 November 2018, ASIC made an Excluded Derivative determination under subrule 2.2.8(3) of the ASIC Derivatives Transaction Rules (Reporting) 2013, requiring transactions in contracts for difference (CFDs), margin FX and equity derivatives to be reported to derivative trade repositories on a 'lifecycle' method.

The effective date of the Excluded Derivative determination is 1 July 2019.

Single-sided transaction reporting relief

Entities with low levels of OTC derivatives transactions have been granted single-sided reporting relief if the transactions are concluded with entities that are already required or have agreed to report: see regulation 7.5A.71 of the Corporations Regulations 2001.

Regulated foreign markets

Transactions of OTC derivatives on a 'regulated foreign market' are not required to be reported to a licensed or prescribed trade repository.

A list of regulated foreign markets that ASIC has determined are subject to sufficiently equivalent requirements and supervision in terms of market transparency and integrity can be found here.

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Last updated: 11/04/2014 12:00