OTC derivatives

ASIC is responsible for making and enforcing the derivative transaction rules that establish mandatory obligations for reporting, clearing and execution of derivative transactions.

The derivative transaction rules impose obligations on reporting entities to report information about their transactions and positions in OTC derivatives to a licensesd or prescribed trade repository.

Trade repositories that wish to accept derivative trade data reported under mandatory reporting obligations must be licensed or prescribed.

Large financial institutions that transact in prescribed OTC interest rate derivatives are also required to centrally clear their transactions through licensed or prescribed clearing and settlement facilities.

If you have any questions about OTC derivatives, OTCD@asic.gov.au

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What's new

ASIC cancels retail OTC derivative issuer Berndale Capital Securities licence and bans former director

30 November 2018

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ASIC assessment of Yieldbroker

30 November 2018

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ASIC announces new members of the Markets Disciplinary Panel and consults on proposed changes

29 November 2018

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Firms must notify ASIC of their AFCA membership by end of November before late fees apply

28 November 2018

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Last updated: 03/04/2014 12:00