ASX Settlement 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 92KB)
Section 2 Definitions and Interpretation (PDF 288KB)
Section 3 Functions, Powers, Rights and Obligations of ASX Settlement (PDF 151KB)
Section 4 Participation in The Settlement Facility (PDF 184KB)
Section 5 Rights and Obligations of Issuers (PDF 191KB)
Section 6 Rights and Obligations of Participants (PDF 126KB)
Section 7 Participant Client Arrangements (PDF 82KB)
Section 8 Holding Financial Products in the Settlement Facility (PDF 274KB)
Section 9 Transfers of Financial Products (PDF 120KB)
Section 10 Batch Settlement (PDF 260KB)
Section 11 Real Time Gross Settlement (PDF 289KB)
Section 12 Compliance, Enforcement Actions and Appeals (PDF 222KB)
Section 13 Depository Interests in Chess (PDF 325KB)
Section 14 Subpositions (PDF 190KB)
Section 15 DvP Settlement of Allocations in Respect of Initial Public Offerings (PDF 137KB)
Section 16 Communications with ASX Settlement (PDF 106KB)
Section 17 Transitional Arrangements (PDF 85KB)
Appendix 1 - Scheduled Times (PDF 111KB)
Appendix 2 - Demand Transfer Messages (PDF 39KB)
Appendix 3 - Sponsorship Agreement (PDF 72KB)
Appendix 4 - Participant Change Notice (PDF 57KB)
Schedule 1 (PDF 30KB)
Schedule 2 (PDF 36KB)
ASX Settlement Operating Rules Procedures (PDF 224KB) 

 

Guidance Notes

Below you will find a list of the Guidance Notes issued by ASX in relation to the ASTC Settlement 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
ASTC Guidance Note 01 - Change of Holder Record Details
ASTC Guidance Note 02 - Disaster Recovery Requirements
ASTC Guidance Note 03 - Disciplinary Proceedings
ASTC Guidance Note 04 - Financial Products subject to Foreign Ownership Restrictions
ASTC Guidance Note 05 - Instructions to Access Holdings
ASTC Guidance Note 06 - Issue of Management Letters
ASTC Guidance Note 07 - Waivers of ASTC Settlement Rules
ASTC Guidance Note 08 - ASX's Disciplinary Tribunals
ASTC Guidance Note 09 - Monitoring Compliance - Investigations
ASTC Guidance Note 10 - Financial Products in a Settlement or Accumulation Account
ASTC Guidance Note 11 - Sponsorship Agreements
ASTC Guidance Note 12 - Access to CHESS Holdings by Issuers
ASTC Guidance Note 13 - Notification of Regulatory Action 
ASTC Guidance Note 14 - End-Clients Using Margined Financial Products - Risks For Participants 

 

Waivers

2013

2012

2011

2010

2009

2008

2007

2006

2005

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The ASX Group's activities span primary and secondary market services, including capital formation and hedging, trading and price discovery (Australian Securities Exchange);
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