Changeflow GovPing Government & Legislation ASIC Derivative Trade Repository Rules 2023
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ASIC Derivative Trade Repository Rules 2023

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Summary

ASIC has promulgated the Derivative Trade Repository Rules 2023, a binding legislative instrument under the Corporations Act 2001. The Rules establish comprehensive obligations for trade repository operators and their officers covering derivative trade data handling, governance, reporting to Australian regulators, fee disclosure, and record-keeping requirements.

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What changed

The ASIC Derivative Trade Repository Rules 2023 establish a detailed compliance framework comprising obligations for officers, service provision standards, derivative trade data management, governance and resource requirements, fee disclosure obligations, reporting to Australian regulators, and record-keeping requirements across seven chapters.

Affected parties including trade repository operators and their officers must ensure alignment with these binding Rules across all operational areas including data handling, governance structures, and regulatory reporting obligations under the Corporations Act 2001.

What to do next

  1. Review and update internal policies to align with trade repository operator obligations
  2. Ensure compliance with derivative trade data handling and record-keeping requirements
  3. Implement governance and reporting frameworks as specified in the Rules

Archived snapshot

Apr 10, 2026

GovPing captured this document from the original source. If the source has since changed or been removed, this is the text as it existed at that time.

- Interactions

ASIC Derivative Trade Repository Rules 2023

In force Administered by
- Department of the Treasury
This item is authorised by the following title:

View document Legislative instrument Filter active Table of contents
- Chapter 1: Introduction
- Part 1.1 Preliminary
- Part 1.2 Interpretation
- Chapter 2: Obligations of Officers and Operators
- Part 2.1 Obligations of Officers
- Part 2.2 Manner in which the Trade Repository provides its services
- Part 2.3 Handling and use of Derivative Trade Data by Trade Repositories and their Officers and employees
- Part 2.4 Governance, management and resources
- Part 2.5 Disclosure of conditions (including fees) on which Trade Repositories provide their services
- Part 2.6 Reporting to Australian Regulators on matters related to Trade Repositories
- Part 2.7 Keeping of records, or the provision of records or other information, relating to compliance with (or determining whether there has been compliance with) the Rules
- Endnotes
- Endnote 1—About the endnotes
- Endnote 2—Abbreviation key
- Endnote 3—Legislation history
- Endnote 4—Amendment history

Named provisions

Chapter 1: Introduction Chapter 2: Obligations of Officers and Operators Part 2.1 Obligations of Officers Part 2.2 Manner in which the Trade Repository provides its services Part 2.3 Handling and use of Derivative Trade Data by Trade Repositories and their Officers and employees Part 2.4 Governance, management and resources Part 2.5 Disclosure of conditions (including fees) on which Trade Repositories provide their services Part 2.6 Reporting to Australian Regulators on matters related to Trade Repositories Part 2.7 Keeping of records, or the provision of records or other information, relating to compliance with (or determining whether there has been compliance with) the Rules

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Source

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Classification

Agency
ASIC
Instrument
Rule
Legal weight
Binding
Stage
Final
Change scope
Substantive
Document ID
F2023L01292

Who this affects

Applies to
Financial advisers Insurers Fund managers
Industry sector
5231 Securities & Investments
Activity scope
Derivative trade data reporting Trade repository operations Regulatory reporting
Geographic scope
Australia AU

Taxonomy

Primary area
Securities
Operational domain
Compliance
Topics
Financial Services Corporate Governance

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