Document ID: chunk:federal_register_of_legislation:F2024C01137:reg:8a:p5
Version: federal_register_of_legislation:F2024C01137
Segment Type: reg
Provision Reference: reg 8A (pt 5/6)
Character Range: 57035–59951

the committee known as the Regulatory Oversight Committee, formed to oversee the Global LEI System and other identifier systems.
           Note: The ROC Statement is available on a website maintained by the Regulatory Oversight Committee at http://www.leiroc.org.
UPI means a product identifier code in the format and structure specified in ISO 4914.

Part S1.3 Derivative Transaction Information

S1.3.1 Derivative Transaction Information
(1) For the purposes of these Rules, the Derivative Transaction Information in relation to a Reportable Transaction is:
        (a)        for the entry into, modification, termination or assignment of an OTC Derivative, or a change to the way a Reporting Entity records an OTC Derivative as specified in subrule 1.2.5(1)(b):
           (i)         the information about the Reportable Transaction set out in column 3 of Table S1.1(1), to the extent that information is relevant to the Reportable Transaction, and in accordance with the format and allowed values set out in columns 4 and 5 of Table S1.1(1);
           (ii)       the valuation information set out in column 3 of Table S1.1(2), to the extent that information is relevant to the Reportable Transaction, and in accordance with the format and allowed values set out in columns 4 and 5 of Table S1.1(2); and
           (iii)     the collateral information set out in column 3 of Table S1.1(3), to the extent that information is relevant to the Reportable Transaction, and in accordance with the format and allowed values set out in columns 4 and 5 of Table S1.1(3).
     (2) In Table S1.1(1), the Derivative Transaction Information for Item 7 and, if applicable, Item 10 is:
         1.         for a report about a Reportable Transaction that is the entry into, or assignment of, an OTC Derivative or a change to the way a Reporting Entity records an OTC Derivative as specified in subrule 1.2.5(1)(b)(iv) and the entity to which the item relates is eligible for an LEI:
                1.          if the entity has an LEI, that LEI; or
                2.        if the entity does not have an LEI, a Designated Business Identifier of the entity or an internal entity identifier, in the structure and format of a Client Code, of the entity, provided that:
                       1.        The entity, or another entity on behalf of the entity, or the Reporting Entity, applies, or has applied, for the issue of an LEI within 2 Business Days after the requirement to report the Reportable Transaction arises; and
                       2.        as soon as reasonably practicable after the LEI is available to the Reporting Entity, including as published by the GLEIF, the Reporting Entity must use all reasonable endeavours to report the LEI in a Reportable Transaction unless the OTC Derivative to which the LEI relates has been terminated or has expired; and
         1.        for a report about a Reportable