ASIC Derivative Transaction Rules (Reporting) 2022
Part 12 Interpretation
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Part 1.2 Interpretation
1.2.1 References to time
In these Rules, unless the contrary intention appears, a reference to time is to Australian Eastern Standard Time (AEST) or Australian Eastern Daylight Time (AEDT), as applicable, in Sydney, Australia.
1.2.2 Words and expressions defined in the Corporations Act
Words and expressions defined in the Act will, unless otherwise defined or specified in these Rules or the contrary intention appears, have the same meaning in these Rules.
Note: For convenience, some words and expressions defined in the Act are cross-referenced in Rule 1.2.3 below.
1.2.3 Definitions
In these Rules:
Act means the Corporations Act 2001.
AFS Licence means an Australian financial services licence within the meaning of section 761A of the Act.
AFS Licensee means a person who holds an AFS Licence.
ASIC means the Australian Securities and Investments Commission.
Australian ADI means an Australian Entity that is an Australian ADI within the meaning of section 9 of the Act.
Australian Entity means an entity (including a corporation, partnership, managed investment scheme or trust) that is incorporated or formed in this jurisdiction.
Business Day means a day that is not a Saturday, a Sunday, or a public holiday or bank holiday in the Relevant Jurisdiction.
CS Facility Licensee has the meaning given by section 761A of the Act.
Derivative has the meaning given by section 761D of the Act.
Derivative Position Information means the information about positions relating to Derivative Transactions set out in Part S2.2 of Schedule 2 to these Rules.
Derivative Trade Data has the meaning given by section 761A of the Act and includes Derivative Transaction Information and Derivative Position Information.
Derivative Trade Repository has the meaning given by section 761A of the Act.
Derivative Transaction has the meaning given by section 761A of the Act.
Derivative Transaction Information means the information about Derivative Transactions set out in Part S2.1 of Schedule 2 to these Rules.
Effective Date, in relation to Derivative Trade Data reported during the Opt-In Reporting Phase, has the meaning given by paragraph 2.4.1(1)(e).
Exempt Foreign Licensee means a person:
(a) whose activities, relating to Derivatives, are regulated by an overseas regulatory authority;
(b) who provides a financial service, relating to Derivatives, only to wholesale clients as defined in section 761G of the Act; and