ASX Clear Operating Rules, Guidance Notes and waivers

Rules

Below you will find a list of sections which are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

The sections are available to view only and cannot be printed.

The Rules are available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or via phone on 1800 772 772

 

Description
Section 1 Introduction and General Rules (PDF 167KB)
Section 2 Definitions and Interpretation (PDF 191KB)
Section 3 Participation in the Clearing Facility (PDF 130KB)
Section 4 Rights and Obligations of Participants (PDF 171KB)
Section 5 Risk Management Capital Requirements (PDF 60KB)
Section 6 Communications with ASX Clear (PDF 68KB)
Section 7 Client Requirements (PDF 76KB)
Section 8 Clearing Fund Contributions, Emergency Assessments and Priority of Application of Clearing Assets (PDF 101KB)
Section 9 Third Party Clearing and Settlement Arrangements (PDF 83KB)
Section 10 Derivatives Market Transactions- Accounts (PDF 61KB)
Section 11 Derivatives Market Contracts - Allocation, Price Averaging and Destination (PDF 63KB)
Section 12 Registration, Novation, Netting and Settlement (PDF 211KB)
Section 13 Derivatives CCP Contracts - Transfers Close Outs and Adjustments (PDF 97KB)
Section 14 Derivatives - Risk Management (PDF 80KB)
Section 15 Default (PDF 113KB)
Section 16 State of Emergency, Undesirable Practices and Impossibility of Performance (PDF 100KB)
Section 17 ASX Clear Termination of Derivatives CCP Contracts (PDF 98KB)
Section 18 Disputes and Complaints (PDF 50KB)
Section 19 Compliance, Enforcement Actions and Appeals (PDF 134KB)
Section 20 Settlement of Derivatives CCP Contracts (PDF 76KB)
Section 21 Settlement of Deliverable Futures CCP Contract over Underlying Commodities (PDF 133KB)
Section 22 Transitional Arrangement for Existing ASX Participating Organisations (Cash Market Transactions) (PDF 87KB)
Section 23 Transitional Arrangements for Existing ASX Participating Organisations (Derivatives) (PDF 85KB)
Schedule 1 - Risk Based Capital Requirements (PDF 146KB)
Schedule 1A - Annexures (PDF 259KB)
Schedule 2 - NTA Requirements (PDF 77KB)
Schedule 3 - Clearing Agreements - Minimum Terms (PDF 58KB)
Schedule 4 - Settlement Services Agreement (Cash Market Transactions) - Minimum Terms (PDF 51KB)
Schedule 5 - Derivatives Client Agreement - Minimum Terms (PDF 80KB)
Schedule 6 - Derivatives Client Agreement - Minimum Terms Change Notification (PDF 51KB)
ASX Clear Operating Rules Procedures (PDF 390KB)
ASX Clear Operating Rules Procedures - Annexure 1 (PDF 124KB)
ASX Clear Operating Rules Procedures - Annexure 2 (PDF 185KB)
ASX Clear Operating Rules Procedures - Annexure 3 (PDF 58KB)
ASX Clear Operating Rules Procedures - Annexure 4 (PDF 147KB)
ASX Clear Operating Rules Procedures - Annexure 5 (PDF 44KB)
ASX Clear Operating Rules Procedures - Annexure 6 (PDF 37KB)
ASX Clear Operating Rules Procedures - Annexure 7 (PDF 62KB)
ASX Clear Operating Rules Procedures - Annexure 8 (PDF 51KB)
ASX Clear Operating Rules Procedures - Annexure 9 (PDF 42KB)
ASX Clear Operating Rules Procedures - Annexure 10 (PDF 40KB)
ASX Clear Operating Rules Procedures - Annexure 11 (PDF 51KB)
ASX Clear Operating Rules Procedures - Annexure 12 (PDF 68KB) 

 

Guidance Notes

Below you will find a list of the Guidance Notes issued by ASX in relation to the ACH Rules. They are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

The sections are available to view only and cannot be printed.

The Rules are available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or via phone on 1800 772 772

 

Description
ACH Guidance Note 1 - Disaster Recovery
ACH Guidance Note 2 - Disciplinary Proceedings
ACH Guidance Note 3 - Insurance Requirements
ACH Guidance Note 4 - Management Requirements
ACH Guidance Note 5 - New Clients – Electronic Client Agreements
ACH Guidance Note 6 - Ongoing Compliance - Transition
ACH Guidance Note 7 - Record of Action and Announcement
ACH Guidance Note 8 - Responsible Executives
ACH Guidance Note 9 - Waivers of ACH Clearing Rules
ACH Guidance Note 10 - ASX’s Disciplinary Tribunals
ACH Guidance Note 11 - Ongoing Compliance - Responsibilities
ACH Guidance Note 12 - Monitoring Compliance - Investigations
ACH Guidance Note 13 - Risk Management Framework
ACH Guidance Note 14 - Periodic Reporting Requirements
ACH Guidance Note 15 - Client Agreements - Requirements
ACH Guidance Note 16 - Notification of Regulatory Action
ACH Guidance Note 17 - End-Clients Using Margined Financial Products - Risks For Participants

 

Waivers

2013

2012

2011

2010

2009

2008

2007

2006

2005

The Australian Market

Our Organisation

Services

Infrastructure

ASX Compliance

Investor Relations

© 2013 ASX Limited ABN 98 008 624 691
The ASX Group's activities span primary and secondary market services, including capital formation and hedging, trading and price discovery (Australian Securities Exchange);
central counterparty risk transfer (ASX Clearing Corporation); and securities settlement for both the equities and fixed income markets (ASX Settlement Corporation).