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In forceMarkets and derivativesLast checked 13 November 2026

OTC derivative transaction reporting

A regulatory return listed by the Australian Securities and Investments Commission (ASIC), Australia.

Requires entities that deal in over-the-counter (OTC) derivatives to report their transactions, and changes to them, to a licensed or prescribed derivative trade repository, so that regulators have visibility of derivatives activity and systemic risk in the market. Source

Official title: Reporting under the ASIC Derivative Transaction Rules (Reporting) 2024

The facts

Who files
Entities the rules list as 'Reporting Entities': Australian ADIs, AFS licensees and CS facility licensees that are a counterparty to the OTC derivative, wherever it is entered into; foreign CS facility licensees for OTC derivatives entered into with an Australian entity; and certain other foreign entities (a foreign ADI with an Australian branch, an AFS licensee or an exempt foreign licensee) for OTC derivatives entered into with a retail client here, booked to an Australian branch, or that are a 'nexus derivative'. An entity is not a Reporting Entity for a class of derivative its AFS licence does not cover it to deal in. Source
How often
For each reportable transaction (entering into, modifying, terminating or assigning an OTC derivative, or changing how it is recorded), and for later changes to the information already reported. Source
Deadline
For the core transaction details, by the end of the second business day in Sydney after the day the reportable transaction occurs. Source
Format
XML. Reported in a machine-readable form, in accordance with an ISO 20022 message definition covering the required Derivative Transaction Information, using the XML tags of that message definition (for example DerivativesTradeReportV04, auth.030.001.04, for transaction and valuation reporting). Source
How it is filed
Filing routes recorded for the ASIC: ASIC Regulatory Portal; Australian Credit Register Portal. See how firms file with the ASIC.
Status
In forceThe current rules were made on 20 December 2022 as the ASIC Derivative Transaction Rules (Reporting) 2022, then substantially amended and retitled the 'ASIC Derivative Transaction Rules (Reporting) 2024'; the amended rules commenced on 21 October 2024. Source
Legal basis
Group
Markets and derivatives

Templates (0)

The library lists no templates for this return.

Not divided into separate schedules or forms; the required data items are set out in the rules' own Derivative Transaction Information table. Source

Validation rules

The ASIC publishes the checks it runs on this return. They could not be counted from the published material. Software can run them exactly as published. Source

How they are written: The ISO 20022 message definition each reporting entity uses sets the structure and codes a report must use; the rules themselves exempt a report from an item the current message definition does not yet include..

No separate, additional catalogue of edit checks beyond the ISO 20022 message definition was found on the pages read.

The rules, on legislation.gov.au

Counts are in the ASIC's own unit, so they are not comparable with other regulators' counts.

Public data

No published data from this return was found. A document lodged under a provision of Chapter 7 of the Corporations Act, which includes a derivative transaction report under Part 7.5A, is expressly carved out of the general public right to inspect documents lodged with ASIC. Source

Official documents (3)

The ASIC's own files, with the size and SHA-256 fingerprint of each as downloaded on 13 November 2026, so anyone can tell whether a copy is the same version.

Sources

Every page and document this return's facts were read from.

Knowing exactly what is collected, in what format and under which rules is the first step to real-time supervision. Line4 builds SupTech software for financial regulators that runs checks like these as each return arrives.

Line4's own text, and the way Line4 has collected and arranged these records, are free to reuse under CC BY 4.0. Please credit: “Source: Line4 regulatory submissions library (CC BY 4.0), https://www.line4.ai”. The facts themselves belong to no one. The regulators' document titles, template names, quoted terms and documents belong to them and are not covered by this licence: see ASIC's reuse terms. This describes what regulators publish. It is not legal or regulatory advice: always rely on the regulator's own text. Not affiliated with or endorsed by any regulator.

Line4 wrote this page in its own words from the ASIC's public website and links to the ASIC's own pages as the source; the ASIC has not reviewed or endorsed it, so always check the ASIC's own published text before relying on it.

© Australian Securities & Investments Commission. Material drawn from ASIC's regulatory guides, information sheets, forms, pro forma documents, legislative instruments and annual reports (https://asic.gov.au) is used under the Creative Commons Attribution 4.0 International licence (https://creativecommons.org/licenses/by/4.0/); this library summarises it in plain English and links the originals.

Based on content from the Federal Register of Legislation at 13 November 2026. For the latest information on Australian Government legislation please go to https://www.legislation.gov.au.

Last checked 13 November 2026.