Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:3:p23
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 3 (pt 23/43)
Character Range: 759559–762514

derivative trade data under paragraph 904B(2)(e) of the Act.

7.5A.200  ASIC may assess licensee's compliance
 (1) This regulation is made for paragraph 904J(4)(d) of the Act.
 (2) The following persons or bodies are prescribed for that paragraph:
 (a) the Clean Energy Regulator;
 (b) the Australian Competition and Consumer Commission;
 (c) the Australian Prudential Regulation Authority;
 (d) the Australian Taxation Office;
 (e) the Australian Transaction Reports and Analysis Centre;
 (f) an authority of a State or Territory having functions and powers similar to those of the Director of Public Prosecutions;
 (g) the police force or service of each State and the Northern Territory;
 (h) Consumer Protection, Western Australia;
 (i) the Commissioner of State Revenue of Western Australia;
 (j) NSW Fair Trading;
 (k) Consumer Affairs Victoria;
 (l) the State Revenue Office of Victoria;
 (m) the Office of Fair Trading of Queensland;
 (n) the Office of State Revenue of Queensland;
 (o) Consumer and Business Services, South Australia;
 (p) Consumer Affairs and Fair Trading, Tasmania;
 (q) the Department of Treasury and Finance of Tasmania;
 (r) the Office of Regulatory Services of the Australian Capital Territory;
 (s) Consumer Affairs, the Northern Territory.

Division 7—Regulation of prescribed derivative trade repositories

7.5A.250  Obligations and powers—confidential information
 (1) This regulation is made for subsection 906A(3) of the Act and applies to information given to ASIC, by the operator (or an officer of the operator) of a prescribed derivative trade repository, under a provision of:
 (a) Part 7.5A of the Act; or
 (b) the regulations made for that Part; or
 (c) the derivative transaction rules or derivative trade repository rules.
 (2) The information is taken, for the purpose of section 127 (confidentiality) of the ASIC Act, to be given to ASIC in confidence in connection with the performance of ASIC's functions under the Act, unless:
 (a) the information has been made publicly available in accordance with the provisions mentioned in paragraph (1)(a), (b) or (c); or
 (b) a law requires or permits the information to be released.

Division 8—Other matters

7.5A.270  Record‑keeping
 (1) This regulation is made for paragraph 854A(1)(b) of the Act.
 (2) A derivative trade repository licensee must keep the following records:
 (a) a list of names and contact details of each director, secretary and senior manager of the licensee;
 (b) a list of names and contact details of individuals who hold more than 15% of the voting power in the licensee.
 (3) The licensee must keep the records for at least 5 years.

Part 7.6—Licensing of providers of financial services

7.6.01  Need for Australian financial services licence: general
 (1) For paragraph 911A(2)(k) of the Act, the provision of the following services is covered by an exemption from the requirement to hold an Australian financial services licence: