Document ID: chunk:federal_register_of_legislation:F2023L01292:body:0:p16
Version: federal_register_of_legislation:F2023L01292
Segment Type: other
Provision Reference: 
Character Range: 41394–44094

(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 15% of the voting power; and
(c)        if the Operator knows the voting power that the person had immediately before the person came to have, or ceased to have, more than 15% of the voting power, that voting power; and
(d)       whether the Operator knows the manner in which the person came to have, or ceased to have, more than 15% of the voting power and, if the Operator knows the manner, details of what the Operator knows.
Note: Under subsection s904C(3) of the Corporations Act, the Operator must also notify ASIC as soon as practicable after a person becomes, or ceases to be, a director, secretary or senior manager of the Operator or its holding company.

2.6.4 Delays, disruptions, suspension and termination, breaches of data security, integrity and confidentiality
If the Trade Repository experiences:
(a)        a disruption of, delay in, or suspension or termination of any of the Trade Repository's systems for the acceptance, retention, use, disclosure or provision of access to Derivative Trade Data, including as a result of any system failure; or
(b)       a breach of the integrity, security, or confidentiality of the Derivative Trade Data retained in the Trade Repository,
the Operator must:
(c)        as soon as practicable, notify ASIC of the occurrence of the circumstance; and
(d)       within 14 days of the occurrence of the circumstance, submit a report to ASIC describing the cause and results of the occurrence of the circumstance, and any remedial actions already taken or planned by the Operator in response to the occurrence of the circumstance.

Part 2.7 Keeping of records, or the provision of records or other information, relating to compliance with (or determining whether there has been compliance with) the Rules

2.7.1 Keeping of records
(1) An Operator must keep records that enable the Operator to demonstrate that it has complied with the requirements of these Rules.
(2) An Operator must keep the records referred to in subrule (1) for a period of at least five years from the date the record is made or amended, or for any longer period for which the record is required to be kept under any other Rule.

2.7.2 Provision of records or other information
(1) An Operator 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 Operator a reasonable