Corporations Regulations 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

PART 7.5A - REGULATION OF DERIVATIVE TRANSACTIONS AND DERIVATIVE TRADE REPOSITORIES  

Division 8 - 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.




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