Securities and Futures (Trade Repositories) Regulations 2013
Table of Contents
Enacting Formula
Part I Preliminary
1 Citation and commencement
2 Definitions
3 Forms
4 Fees
5 Keeping of books and other information
Part II Licensing of trade repositories
6 Application for licence
7 Minimum requirements for licence
8 Cancellation of trade repository licence or foreign trade repository licence
Part III Regulation of licensed trade repositories
Division 1 — Obligations and Matters relating to Licensed Trade Repositories
9 Obligation to notify Authority of certain matters
10 Obligation to seek Authority’s approval
11 Obligation to submit periodic reports
12 Exceptions to obligation to maintain confidentiality
13 Business continuity plan
14 Recovery and resolution plan
15 Provision of information
16 Transmission and storage of information
17 Regulation of reporting fees of specified licensed trade repository
Division 2 — Business Rules of Licensed Trade Repositories
18 Content of business rules of licensed trade repository
19 Amendment of business rules
Division 3 — Matters requiring Approval of Authority
20 Application and criteria for approval to acquire substantial shareholding
21 Application for approval of chairman, chief executive officer, director and key persons
22 Criteria for approval of chairman, chief executive officer, director and key persons
Division 4 — Powers of Authority
23 Criteria for determining whether officer failed to discharge duties or functions
Part IV Regulation of licensed foreign trade repositories
24 Obligation to notify Authority of certain matters
25 Obligation to submit periodic reports
26 Exceptions to obligation to maintain confidentiality
27 Business continuity plan
28 Provision of information
29 Transmission and storage of information
30 Regulation of reporting fees of specified licensed foreign trade repository
Part V Miscellaneous
31 Offences