Document ID: chunk:federal_register_of_legislation:F2024C01137:reg:8a:p3
Version: federal_register_of_legislation:F2024C01137
Segment Type: reg
Provision Reference: reg 8A (pt 3/6)
Character Range: 51845–54700

record of all information that it is required to report under subrules 2.2.1(1) and 2.2.2(1).

(4) A Reporting Entity is not required to keep the records referred to in subrule (3) where the Reporting Entity has arrangements in place to access those records in a Licensed Repository or Prescribed Repository, either directly or through another person, for the period set out in subrule (2).

2.3.2 Provision of records or other information

(1) A Reporting Entity must, on request by ASIC, provide ASIC with records or other information relating to compliance with or determining whether there has been compliance with these Rules.

(2) A request by ASIC under subrule (1) must be in writing and give the Reporting Entity a reasonable time to comply.

(3) The Reporting Entity must comply with a request under subrule (1) within the time specified in the request or if no time is specified, within a reasonable time.

Part 2.4 Transitional matters

2.4.1 Re-reporting requirement

(1) Subject to subrule (2), a Reporting Entity that has, on or before 20 October 2024, made a report for a Reportable Transaction and:
         1.         the OTC Derivative the subject of the Reportable Transaction has an Expiration date (as defined by item 18 of Table S1.1(1)) later than 20 October 2025;
         1.        the OTC Derivative has not been terminated on or before 20 April 2025;
         2.         the current state information about the OTC Derivative reported on or before 20 October 2024 does not include:
                1.          all of the Derivative Transaction Information set out in column 3 of Table S1.1(1), to the extent that information is relevant to the Reportable Transaction; or
                2.        information in accordance with the format and allowed values set out in columns 4-5 of Table S1.1(1);
the Reporting Entity must, by 20 April 2025 make a change report about the OTC Derivative under subrule 2.2.2(1) that includes the information specified in subparagraph 2.4.1(1)(c).

(2) A Reporting Entity is not required to include in a change report made under subrule (1) Derivative Transaction Information set out in column 3 of Table S1.1(1) that:
         1.         has not been recorded in electronic form in the systems that are the source of Derivative Transaction Information; or
         2.        is not able to be created by the systems that create Derivative Transaction Information in the ordinary way that the systems create Derivative Transaction Information for a report made after 20 October 2024.

Schedule 1 Information requirements

Part S1.1 Preliminary
     In this Schedule, a reference to a Reporting Entity that is an RE, Trustee, or corporate director of a CCIV includes a reference to a person appointed by the RE, Trustee, or corporate director of a CCIV to enter into OTC Derivatives on behalf of