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 5
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Regulation of licensed derivative trade repositories: other obligations and powers
REGULATION 7.5A.150A
EUROPEAN UNION REQUESTS FOR DERIVATIVE TRADE DATA
7.5A.150A(1)
For paragraph 904B(2)(d) of the Act, the persons or bodies mentioned in Article 81(3)(a) to (e), (g), (h) and (j) of Regulation (EU) No 648/2012 of the European Parliament and the Council of the European Union, dated 4 July 2012, may request a derivative trade repository licensee to provide the person or body with derivative trade data that is retained in the derivative trade repository.
7.5A.150A(2)
For subsection 904B(4) of the Act, information must not be included in derivative trade data provided in response to a request under subregulation (1) unless:
(a) the information relates to a transaction or position that is required to be reported under either of the following:
(b) subregulation (3) or (4) applies.
7.5A.150A(3)
This subregulation applies if the information relates to a transaction or position that would, but for mutual regulatory recognition arrangements, be required to be reported under one or more of the following:
(a) Regulation (EU) No 648/2012 of the European Parliament and the Council of the European Union dated 4 July 2012;
(b) Commission Implementing Regulation (EU) No 1247/2012 of the European Parliament and the Council of the European Union, dated 19 December 2012;
(c) Commission Delegated Regulation (EU) No 148/2013 of the European Commission, dated 19 December 2012.
7.5A.150A(4)
This subregulation applies if the information:
(a) relates to a European Union or European Economic Area underlying asset, index, rate or currency; and
(b) is not covered by subregulation (3).
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.]
For paragraph 904B(2)(d) of the Act, the persons or bodies mentioned in Article 81(3)(a) to (e), (g), (h) and (j) of Regulation (EU) No 648/2012 of the European Parliament and the Council of the European Union, dated 4 July 2012, may request a derivative trade repository licensee to provide the person or body with derivative trade data that is retained in the derivative trade repository.
7.5A.150A(2)
For subsection 904B(4) of the Act, information must not be included in derivative trade data provided in response to a request under subregulation (1) unless:
(a) the information relates to a transaction or position that is required to be reported under either of the following:
(i) rules made under paragraph 901A(2)(b) of the Corporations Act 2001 ;
(ii) the conditions of an exemption given under section 907D of the Corporations Act 2001 ; and
(b) subregulation (3) or (4) applies.
7.5A.150A(3)
This subregulation applies if the information relates to a transaction or position that would, but for mutual regulatory recognition arrangements, be required to be reported under one or more of the following:
(a) Regulation (EU) No 648/2012 of the European Parliament and the Council of the European Union dated 4 July 2012;
(b) Commission Implementing Regulation (EU) No 1247/2012 of the European Parliament and the Council of the European Union, dated 19 December 2012;
(c) Commission Delegated Regulation (EU) No 148/2013 of the European Commission, dated 19 December 2012.
7.5A.150A(4)
This subregulation applies if the information:
(a) relates to a European Union or European Economic Area underlying asset, index, rate or currency; and
(b) is not covered by subregulation (3).
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