Regulatory Alerts2010-07-09 | RG-212Added · Updated
RG 212 Client money relating to dealing in OTC derivatives
The Australian Securities and Investments Commission issued Regulatory Guide 212 to provide guidance for Australian financial services licensees holding client money for over-the-counter derivatives trading. The document outlines the client money provisions under Division 2 of Part 7.8 of the Corporations Act 2001, specifically addressing requirements for derivatives and aiming to improve disclosure standards. It serves as a comprehensive reference for licensees and investors regarding the regulatory obligations for managing client funds in the OTC market.
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