Rules

ASIC Derivative Transaction Rules (Reporting) 2013

Consultations

• 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)

ASIC Determinations

ASIC Derivative Transaction Rules (Reporting) Determination 2018/1096

determines equity derivatives, CFDs and Margin FX as OTC Derivatives required to be reported by ‘lifecycle’ reporting under Rule 2.2.8

ASIC Regulated Foreign Markets Determination [OTC DET 13/1145]

determines foreign financial markets whose derivatives are not OTC Derivatives under Rule 1.2.4

9 October 2015

ASIC Corporations (Derivative Transaction Reporting) Amendment Instrument 2015/0925

Amendment to Class Order CO [14/0633] Transitional exemptive relief for Phase 3 Reporting Entities from elements of the ASIC Derivative Transaction Rules (Reporting) 2013 to delay the commencement of Phase 3B of the OTC derivative transaction reporting obligations. This does not prevent entities that are ready from commencing reporting at an earlier date.

2 July 2014

Instrument 14/0633 and the explanatory statement

Transitional exemptive relief for Phase 3 reporting entities, which provides for a staggered and delayed start to Phase 3 of the OTC derivative transaction reporting obligations under the ASIC Derivative Transaction Rules (Reporting) 2013.
Read a summary of the class exemption (PDF 228 KB)

1 April 2014

Instrument 14/0234

Transitional exemptive relief for Phase 2 reporting entities.
Read a summary of the class exemption (PDF 212 KB)

27 June 2019

Instrument 19/06(refer: ASIC Gazette (A28/19))

Exemptive relief for reporting entity Commonwealth Securities Limited, from 1 July 2019 to 1 September 2019, from the requirement to report on a lifecycle basis, OTC Derivatives that are Commsec CFDs and that were entered into on or before 25 July 2019.

10 April 2015 

Instrument 15/0312 (refer: ASIC Gazette (A17/15))

Transitional exemptive relief for Phase 2 reporting entity BNP Paribas, until 24 May 2015 (inclusive), from transaction reporting of derivatives booked to the profit or loss account of BNP Paribas in Australia.

9 April 2015

Instrument 15/0298 (refer: ASIC Gazette (A16/15))

Transitional exemptive relief for Phase 2 reporting entity Citibank N.A., until 24 May 2015 (inclusive), from transaction reporting of derivatives booked to the profit or loss account of Citibank N.A. in Australia.

9 April 2015

Instrument 15/0270 (refer: ASIC Gazette (A16/15))

Transitional exemptive relief for Phase 3A reporting entity Commonwealth Bank Officers Superannuation Corporation Pty Limited in its role as trustee of Commonwealth Bank Group Super, until 30 June 2015 (inclusive), from transaction reporting of interest rate and credit derivatives.

1 April 2015

Instrument 15/0269 (refer: ASIC Gazette (A16/15))

Transitional exemptive relief for Phase 3A reporting entity MLC Limited, until 30 June 2015 (inclusive), from transaction reporting of interest rate and credit derivatives.

27 March 2015

Instrument 15/0242 (refer: ASIC Gazette 14/15))

Transitional exemptive relief for Phase 3A reporting entity Toyota Finance Australia Limited, until 30 June 2015 (inclusive), from transaction reporting of interest rate and credit derivatives.

15 January 2015

Instrument 15/0030
(refer: ASIC Gazette (A03/15))

Extension of transitional exemptive relief to UBS AG from certain aspects of the alternative reporting regime set out in Rule 2.2.1(3) of the ASIC Derivative Transaction Rules (Reporting) 2013.

24 June 2014

Instrument 14/0559
(refer: ASIC Gazette (A26/14))

Extension of transitional exemptive relief to Macquarie Bank Limited delaying the start of transaction reporting for equity derivatives that have dependency on the MarkitWire confirmation platform until August 2014.

1 April 2014

Instrument 14/0232
(refer: ASIC Gazette (A13/14))

Further individual relief to the five Phase 1 reporting entities, extending for a further six months their ability to mask counterparty identifiers in certain strictly defined circumstances and with respect to certain transactions dependent on certain middleware providers.

1 April 2014

Instruments 14/0233, 14/0236 and 14/0237
(refer: ASIC Gazette (A14/14))

Individual relief for three Phase 2 reporting entities that are New Zealand subsidiaries of Australian ADIs, granting them a six-month delay on the start of their reporting obligations as Phase 2 reporting entities.

1 April 2014

Instrument 14/0238
(refer: ASIC Gazette (A14/14))

Relief for UBS AG (a Phase 2 reporting entity) from certain aspects of the alternative reporting regime set out in Rule 2.2.1(3) of the ASIC Derivative Transaction Rules (Reporting) 2013.

1 October 2013

Instruments 13/1173, 13/1175, 13/1176, 13/1177 and 13/1178
(refer: Special Gazette (A45/13))

Transitional exemptive relief from strict compliance with elements of the ASIC Derivative Transaction Rules (Reporting) 2013 to the five Phase 1 reporting entities. The relief instruments specify the particular rules to which the time-limited relief instruments relate and the conditions to which the relief instruments are subject.
Read the summary of the individual exemption (PDF 51 KB)