2.14 Required Records and Reports

2.14.1

Each Clearing Member shall prepare, maintain and keep current those books and records required by this Rules, the SFA any applicable laws. Such books and records shall be open to inspection and promptly provided to the Clearing House upon request.

Amended on 27 March 2006 27 March 2006 and 31 December 2013 31 December 2013.

2.14.2

Each Clearing Member must file any information requested by the Clearing House within the time period specified in the request.

2.14.3

Each Clearing Member shall maintain at all times the ability to provide to the Clearing House in an acceptable form a complete set of equity system reports (including, at a minimum, the equity run, open position listing, day trade listing, cash adjustments listing and margin call and debit equity listing). Such reports shall forthwith be available to the Clearing House upon the Clearing House's request. Where such request is made at or before 12 p.m. on a Business Day (the "Request Date"), the Clearing Member shall report the required information up to and as at the two (2) Business Days immediately before the Request Date, and where such request is made after 12 p.m. on a Business Day, the Clearing Member shall report the required information up to and as at the Business Day immediately before the Request Date.

2.14.3A

Each Clearing Member shall submit to the Clearing House, in the manner as prescribed from time to time:—

2.14.3A.1 a report on all its credit facilities with its financial institutions, on a monthly basis.

2.14.3A.2 any change to its credit facilities, including variation of credit limits and addition or termination of credit facilities, immediately upon such change.

2.14.3A.3 the identities of the owners or controlling parties for any House Account or Customer Account which:

a. is used for trading of Contracts or carrying of Contracts; or

b. contains positions required to be reported pursuant to Rules 7.09.1 and 7.16.1;

within such time as prescribed by the Clearing House.

Added on 22 September 2006 22 September 2006.

2.14.3B

A Clearing Member must maintain separate accounts for each person whose account is carried on the books of the Clearing Member.

Added on 26 April 2013 26 April 2013.

2.14.4

Where a Clearing Member at any time fails to make or keep current the books and records required by the Clearing House it shall notify the Clearing House of such failure on the same day, specifying the relevant books and records, and shall thereafter comply with all orders of the Clearing House.

Violation of this Rule may be a major offence.

Amended on 27 March 2006 27 March 2006.

2.14.5

2.14.5.1 In addition to the foregoing requirements under Rule 2.14, each Remote Clearing Member shall submit to the Clearing House:

a. any other reports, including any early warning reports, which may be required to be provided by the Remote Clearing Member to its home regulator; and

b. any other reports, including any early warning reports, which may be required to be provided by the Remote Clearing Member to a self-regulatory organisation with oversight over the Remote Clearing Member, if applicable.

2.14.5.2 In addition to the other applicable requirements under Rule 2.14, each FCM Clearing Member shall submit to the Clearing House:

a. accurate and complete information—

i. the first time it clears on behalf of a Cleared Swaps Customer, to enable the identification of such Cleared Swaps Customer; and

ii. at least once each business day thereafter or on such more frequent basis as the Clearing House may require, to enable the identification of the positions of Cleared Swaps Customers and associated Cleared Swaps Customer Collateral, including the amount of Cleared Swaps Customer Collateral posted in excess of that required by the Clearing House, in accordance with the requirements of Part 22 of the CFTC Regulations; and

b. the financial reports specified in CFTC Regulation 1.10.

Added on 31 December 2013 31 December 2013.

2.14.6

A Clearing Member who:

a. reports, or clears on behalf of a customer who reports, to a swap data repository under Part 45 of the CFTC Regulations; or

b. is, or clears on behalf of a customer who is, a U.S. person as construed by the CFTC,

shall as soon as technologically practicable after registration of a Non-Relevant Market Transaction or an OTCF Transaction for clearing with the Clearing House:

1. report all primary economic terms data of the relevant transaction, as defined in CFTC Regulation 45.1, to the Clearing House; and

2. inform the Clearing House of the identity of the swap data repository that the relevant transaction was previously reported to, if any.

Added on 31 December 2013 31 December 2013 and amended on 1 May 2014 1 May 2014.