Amendments to Regulatory Notice of the Futures Trading Rules
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1 Amendments are marked out in blue. Amendments to Regulatory Notice of the Futures Trading Rules Regulatory Notice Negotiated Large Trades 1. Introduction 1.1 This Regulatory Notice sets out the minimum volume thresholds, notification requirements and procedures that Persons effecting Negotiated Large Trades or "NLTs" are required to observe. 2. Minimum Volume Thresholds 2.1 The minimum volume thresholds for NLTs are set out in Appendix A. Refer to Appendix A of Regulatory Notice A trade consisting of multiple legs within the same Underlying is deemed to be in accordance with the minimum volume threshold if at least one (1) of the legs meets the minimum volume threshold applicable to that leg. However, in the case of a FX futures contract that may have a Varied Last Trading Day / Varied LTD and Standard Last Trading Day / Standard LTD (as defined in the contract specifications of that contract): (i) At least one leg in a contract with a Standard LTD (either Futures or Options contract) and at least one leg in contract with a Varied LTD have to individually meet the minimum volume thresholds; (ii) a contract with a Varied LTD will not be counted together with a contract with a Standard LTD for the purposes of meeting the minimum volume threshold; and (iii) contracts with a Varied LTD of a certain day will only be counted together with contracts with a Varied LTD of that day, and not of any other day. Please refer to the examples below. 2.3 Trades which are not in accordance with the minimum volume threshold will not be accepted for registration as NLTs and will be rejected. Example 1: Minimum volume threshold for NK Futures = 100 lots Minimum volume threshold for NK Options = 25 lots (a) The following trade will be in accordance with the minimum volume threshold as one (1) of the legs (NK Options Jan 06 Call 14000) meets the NK Options minimum volume threshold of 25 lots:
2 NK Futures Mar NK Options Jan 06 Call NK Options Jan 06 Call NK Options Feb 06 Put (b) The following trade will also be in accordance with the minimum volume threshold as one (1) of the legs (NK Futures Mar 06) meets the NK Futures minimum volume threshold of 100 lots: NK Futures Mar NK Options Jan 06 Call NK Options Jan 06 Call NK Options Feb 06 Put Example 2: Minimum volume threshold for INR/USD Futures with Standard LTD = 30 lots Minimum volume threshold for INR/USD Futures with Varied LTD = 30 lots Minimum volume threshold for INR/USD Options (standard options)= 30 lots (a) The following trade will be in accordance with the minimum volume threshold as the total quantity of the INR/USD Futures with the same Standard LTD meets the minimum volume threshold, and the total quantity of the INR/USD Futures with the same Varied LTD also meets the minimum volume threshold:
3 INR/USD Futures Nov lots INR/USD Futures Nov lots INR/USD Futures 20 Nov lots INR/USD Futures 20 Nov lots (b) The following trade will not be in accordance with the minimum volume threshold as none of the INR/USD Futures with Standard LTD meets the minimum volume threshold, notwithstanding that the INR/USD Futures with Varied LTD meets the minimum volume threshold: INR/USD Futures Nov lots INR/USD Futures Dec lots INR/USD Futures 4 Dec lots (c) The following trade will not be in accordance with the minimum volume threshold as none of the INR/USD Futures with Varied LTD meets the minimum volume threshold, notwithstanding that the INR/USD Futures with Standard LTD meets the minimum volume threshold INR/USD Futures Nov lots INR/USD Futures 20 Nov lots INR/USD Futures 21 Nov lots
4 (d) The following trade will be in accordance with the minimum volume threshold as one (1) leg of the INR/USD Futures with Standard LTD and one (1) leg of INR/USD Futures with Varied Leg meet the minimum volume threshold: INR/USD Futures Nov lots INR/USD Futures Jan lots INR/USD Options Dec 2017 Call lots INR/USD Futures 22 Nov lots (e) The following trade will be in accordance with the minimum volume threshold as the total quantity for the INR/USD Options for the same contract month of Dec 2017 and strike price of (Call), and one (1) leg of INR/USD Futures with Varied LTD meet the minimum volume threshold: INR/USD Futures Nov lots INR/USD Options Dec 2017 Call lots INR/USD Options Dec 2017 Call lots INR/USD Futures 22 Nov lots
5 (f) The following trade will not be in accordance with the minimum volume threshold as neither the INR/USD Futures with Standard LTD nor any of the INR/USD Option meets their respective minimum volume threshold, notwithstanding that the INR/USD Futures with Varied LTD meets the minimum volume threshold: INR/USD Futures Nov lots INR/USD Options Dec 2017 Call lots INR/USD Options Dec 2017 Call lots 0.790
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