Corporations Regulations 2001
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.]
In this Subdivision:
ASIC exemption instrument
means
ASIC Instrument [14/0633]
.
Derivative Transaction Rules (Reporting)
means the
ASIC Derivative Transaction Rules (Reporting) 2013
.
OTC derivative
(short for over-the-counter derivative) means an OTC Derivative within the meaning of the Derivative Transaction Rules (Reporting).
OTC derivative position
means a position relating to an OTC derivative transaction.
OTC derivative position information
means Derivative Position Information within the meaning of the Derivative Transaction Rules (Reporting), as in force on 1 October 2015, about OTC derivative positions.
OTC derivative transaction
means a derivative transaction relating to an OTC derivative.
phase 3 reporting entity
means a Phase 3 Reporting Entity within the meaning of the ASIC exemption instrument as in force on 1 October 2015.
reporting counterparty
: see regulation
7.5A.72
.
reporting entity
means a Reporting Entity within the meaning of the Derivative Transaction Rules (Reporting), as in force on 1 October 2015.
representative capacity
: an entity is a party to an OTC derivative transaction, or holds an OTC derivative position, in a
representative capacity
if the entity is such a party, or holds such a position, in a capacity as:
(a) the responsible entity of a registered scheme; or
(b) the operator of a notified foreign passport fund; or
(c) the responsible holding party for a notified foreign passport fund; or
(d) the trustee of a trust; or
(e) the corporate director of a CCIV.
total gross notional outstanding positions
, in relation to a phase 3 reporting entity, has a meaning affected by the ASIC exemption instrument, as in force on 1 October 2015.
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