RG 212
Client money relating to dealing in OTC derivatives
Issued 4 April 2018. This is a guide for Australian financial services (AFS) licensees who are required to hold client money and for investors who pay money to an AFS licensee for the purpose of trading in derivatives in the over-the-counter (OTC) market.
In plain English
This guide explains how AFS licensees must handle client money when trading OTC derivatives.
RG 212 applies to Australian financial services (AFS) licensees who hold client money for OTC derivative trading. It also applies to investors paying money for this purpose. The guide details requirements for managing and reporting client money. It was issued on 4 April 2018.
Why it matters
If your business is an AFS licensee dealing in OTC derivatives, this guide ensures you manage client money correctly. Following these guidelines helps protect client funds and maintain regulatory compliance.
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Issuing regulator
ASIC →Topics
Source: https://www.asic.gov.au/regulatory-resources/find-a-document/regulatory-guides/rg-212-client-money-relating-to-dealing-in-otc-derivatives/. Rules Mate indexes + summarises; always verify against the regulator's live publication.