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ASX Clear Operating Rules

ASX Clear Operating 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 also available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or phone 180 0772 772.

Description
Section 1 Introduction and General Rules
Section 2 Definitions and Interpretation
Section 3 Participation in the Clearing Facility
Section 4 Rights and Obligations of Participants
Section 5 Risk Management Capital Requirements
Section 6 Communications with ASX Clear
Section 7 Client Requirements
Section 8 Clearing Fund Contributions and Priority of Application of Clearing Assets
Section 9 Third Party Clearing and Settlement Arrangements
Section 10 Accounts
Section 11 Derivatives Market Contracts - Allocation, Price Averaging and Designation
Section 12 Registration, Novation, Netting and Settlement
Section 13 Derivatives CCP Contracts - Transfers Close Outs and Adjustments
Section 14 Risk Management
Section 15 Default
Section 16 State of Emergency, Undesirable Practices and Impossibility of Performance
Section 17 ASX Clear Termination of Derivatives CCP Contracts
Section 18 Disputes and Complaints
Section 19 Compliance, Enforcement Actions and Appeals
Section 20 Settlement of Derivatives CCP Contracts
Section 21 Settlement of Deliverable Futures CCP Contract over Underlying Commodities - Deleted 19/02/24
Section 22 Transitional Arrangements for Existing ASX Participating Organisations (Cash Market Transactions) - Deleted 23/07/18
Section 23 Transitional Arrangements for Existing ASX Participating Organisations (Derivatives) 
- Deleted 23/07/18`
Schedule 1 - Risk Based Capital Requirements
                Schedule 1 - Annexures
Schedule 2 - NTA Requirements - Deleted 19/02/24
Schedule 3 - Clearing Agreements - Minimum Terms
Schedule 4 - Settlement Services Agreement (Cash Market Transactions) - Minimum Terms
Schedule 5 - Derivatives Client Agreement - Minimum Terms
Schedule 6 - Derivatives Client Agreement - Minimum Terms Change Notification
Schedule 7 - Partial Termination
ASX Clear Operating Rules Procedures
ASX Clear Operating Rules Procedures - Annexure 1
ASX Clear Operating Rules Procedures - Annexure 2
ASX Clear Operating Rules Procedures - Annexure 3 - Deleted 15/06/15
ASX Clear Operating Rules Procedures - Annexure 4
ASX Clear Operating Rules Procedures - Annexure 5 - Deleted 15/06/15
ASX Clear Operating Rules Procedures - Annexure 6 - Deleted 15/06/15
ASX Clear Operating Rules Procedures - Annexure 7 - Deleted 15/06/15
ASX Clear Operating Rules Procedures - Annexure 8
ASX Clear Operating Rules Procedures - Annexure 9 - Deleted 07/06/13
ASX Clear Operating Rules Procedures - Annexure 10 - Deleted 07/06/13
ASX Clear Operating Rules Procedures - Annexure 11 - Deleted 28/04/14
ASX Clear Operating Rules Procedures - Annexure 12 - Deleted 04/05/15
ASX Clear Operating Rules Procedures - Annexure 13