Corporations Regulations 2001
CHAPTER 7
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FINANCIAL SERVICES AND MARKETS
PART 7.5A
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REGULATION OF DERIVATIVE TRANSACTIONS AND DERIVATIVE TRADE REPOSITORIES
Division 8
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Other matters
REGULATION 7.5A.270
RECORD-KEEPING
7.5A.270(1)
This regulation is made for paragraph 854A(1)(b) of the Act.
7.5A.270(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.
7.5A.270(3)
The licensee must keep the records for at least 5 years.
View history note
Hide history note[ CCH Note: Pursuant to the Corporations Amendment Regulations 2001 (No 4) (SR 2001 No 319) effective 11 March 2002, Chapter 7 (Securities) comprising reg 7.1.01 - 7.15.01 and Chapter 8 (The futures industry) comprising reg 8.1.01 - 8.7.03 are replaced by a new Chapter 7 (Financial services and markets) comprising reg 7.1.01 - 7.12.01. As the subject matter of the new Chapter 7 relates to the new financial services reform regime, " inserted " has been used in the history notes for each provision, and all references to the former provisions have been removed.]
This regulation is made for paragraph 854A(1)(b) of the Act.
7.5A.270(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.
7.5A.270(3)
The licensee must keep the records for at least 5 years.
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