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ASIC Derivative Transaction Rules (Reporting) 2024

made under section 901A of the Corporations Act 2001.

Compilation No. 1
                    Compilation date: 21/10/2024
                    Includes amendments up to: ASIC Derivative Transaction Rules (Reporting) 2024 Amendment Instrument 2024/1 [F2024L00298]; and
                    ASIC Derivative Transaction Rules (Reporting and Clearing) Amendment Instrument 2024/416 [F2024L01032]

About this compilation

This compilation
This is a compilation of the ASIC Derivative Transaction Rules (Reporting) 2024 that shows the text of the law as amended and in force on 21/10/2024 (the compilation date).
The notes at the end of this compilation (the endnotes) include information about amending laws and the amendment history of provisions of the compiled law.

Uncommenced amendments
The effect of uncommenced amendments is not shown in the text of the compiled law. Any uncommenced amendments affecting the law are accessible on the Register (www.legislation.gov.au). The details of amendments made up to, but not commenced at, the compilation date are underlined in the endnotes. For more information on any uncommenced amendments, see the Register for the compiled law.

Application, saving and transitional provisions for provisions and amendments
If the operation of a provision or amendment of the compiled law is affected by an application, saving or transitional provision that is not included in this compilation, details are included in the endnotes.

Modifications
If the compiled law is modified by another law, the compiled law operates as modified but the modification does not amend the text of the law. Accordingly, this compilation does not show the text of the compiled law as modified. For more information on any modifications, see the Register for the compiled law.

Self‑repealing provisions
If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.
Contents

             Chapter 1: Introduction......................................3
                Part 1.1 Preliminary..................................3
                Part 1.2 Interpretation.................................3
             Chapter 2: Reporting Requirements...........................11
                Part 2.1 Application..................................11
                Part 2.2 Reporting Requirements........................11
                Part 2.3 Records....................................21
                Part 2.4 Transitional matters...........................22
             Schedule 1 Information requirements......................23
                Part S1.1 Preliminary..................................23
                Part S1.2 Definitions..................................23
                Part S1.3 Derivative Transaction Information.................24

Chapter 1: Introduction

Part 1.1 Preliminary

1.1.1 Enabling legislation
ASIC makes this instrument under section 901A of the Act.

1.1.2 Title
This instrument is the ASIC Derivative Transaction Rules (Reporting) 2024.

1.1.4 Penalties for a contravention of these Rules
The maximum pecuniary penalty payable for a contravention of a provision of these Rules is an amount determined by the Court under section 1317G of the Corporations Act.

Part 1.2 Interpretation

1.2.1 References to time
In these Rules, unless the contrary intention appears, a reference to time is to Australian Eastern Standard Time (AEST) or Australian Eastern Daylight Time (AEDT), as applicable, in Sydney, Australia.

1.2.2 Words and expressions defined in the Corporations Act
Words and expressions