Document ID: chunk:federal_register_of_legislation:F2023L01292:body:0:p15
Version: federal_register_of_legislation:F2023L01292
Segment Type: other
Provision Reference: 
Character Range: 38883–41612

the governance and management of the Trade Repository referred to in Rule 2.4.1;
(f)        the Operator's policies and procedures in relation to the commercial use of Derivative Trade Data retained in the Trade Repository; and
Note: See also Rule 2.3.3.
(g)       the fees, rates and charges for the services referred to in paragraph (a), at an individual service level, and the Operator's policies in relation to discounts and rebates, if any.
(2) An Operator must ensure the disclosures required under subrule (1) are at all times complete, accurate and current.

Part 2.6 Reporting to Australian Regulators on matters related to Trade Repositories

2.6.1 Annual compliance report
(1) An Operator must, within three months after the end of its financial year, give ASIC a written report (the Annual Compliance Report) on the extent to which the Operator has complied during the financial year with its obligations as an Operator under the Corporations legislation, including under these Rules and the Reporting Rules, unless ASIC relieves the Operator from this requirement in writing.
(2) The Operator must, on request by ASIC, obtain an audit report on the Annual Compliance Report, prepared by such specified person or body as ASIC nominates or accepts as suitably qualified to prepare the audit report.
(3) A request by ASIC for an audit report under subrule (2) must be in writing and allow the Operator a reasonable period to comply.

2.6.2 Disclosure of proceedings
An Operator must notify ASIC in writing as soon as practicable after the Operator becomes aware that:
(a)        any civil or criminal legal proceeding has been instituted against the Operator or an Officer of the Operator, other than by ASIC, whether or not in Australia;
(b)       any disciplinary action has been taken against the Operator or an Officer of the Operator by any regulatory authority other than ASIC, whether or not in Australia; and
(c)        any significant changes are made to the regulatory requirements imposed on the Operator or an Officer of the Operator by any regulatory authority other than ASIC, whether or not in Australia.

2.6.3 Notification of acquisition of significant holding in the Operator
(1) An Operator must notify ASIC of the information in subrule (2) as soon as practicable after the Operator becomes aware that a person has come to have, or has ceased to have, more than 15% of the total voting power in the Operator or in a holding company of the Operator.
(2) For the purposes of subrule (1), the information to be given to ASIC by the Operator is:
(a)        the person's name and contact details;
(b)       if known by the Operator, the date on which the person came to have, or ceased to have, more than