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)
Guidance Regulatory Guide 251 Derivative transaction reporting
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

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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If you are a market participant and you see or suspect market misconduct you must notify ASIC

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Last updated: 11/04/2014 12:00