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Participant Help

ASX Austraclear

This section has been designed to help answer some of the questions people ask on a regular basis.

Austraclear Billing
Austraclear Admission and Participation
Austraclear System Use
Austraclear Euro Entitlements
Austraclear Statistics
Austraclear New Fee Categories

Austraclear Billing

Who should I speak to if I have a question on Austraclear fees and charges?

Please refer to the Austraclear schedule of fees and charges (PDF 28KB). For any further questions on fees and charges please email exigo@asx.com.au

How can I pay my Austraclear invoice?

Invoices can be paid by Electronic Funds Transfer, Cheque or clients can be set up for Direct Debit. The ASX preferred method of payment is Direct Debit.

How do I arrange to pay by Direct Debit?

Fill out a Direct Debit request form for Austraclear Limited or Austraclear Services Limited and send to ar@asx.com.au or via Fax 02 9227-0553.

When will my account be Direct Debited?

Direct Debit occurs on 21st of each month. If it falls on weekend, the Direct Debit will be processed the next business day.

I am an overseas customer, can I pay by Direct Debit?

We cannot process Direct Debits for overseas companies. If you are an overseas company please pay via wire transfer in Australian Dollars into the following bank account:

For Austraclear Services Limited invoices
Bank	ANZ
Account name	Austraclear Services Limited
BSB	012-055
A/C No	835795526
Swift Code	ANZBAU3M
For Austraclear Limited invoices
Bank	ANZ
Account name	Austraclear Limited
BSB	012-055
A/C No	835795462
Swift Code	ANZBAU3M

How do I ensure my Electronic Funds Transfer (EFT) is correctly allocated to my account?

Please send a remittance advice to us on or before the date you initiate the payment and ensure that:

1. Remittances are emailed to Accounts Receivable Department to ar@asx.com.au or faxed to (02) 9227- 0553, with the following details:

Customer number

Invoice number/s and

Total amount of the electronic payment.

2. Your customer / invoice number is quoted in the 'Reference Field' of the electronic funds transfer.

Please use the bank account details listed above.

Any queries relating to EFTs, please contact Accounts Receivable at ar@asx.com.au

What is my customer number?

It is an alphanumeric code (i.e. ASX123) and is used for billing / accounting purposes. Quote this number when contacting Accounts Receivable to request copies of invoices, summary of account or any other invoice or account enquiries. This is code is located in top left hand side of all invoices.

Who do I contact if I wish to receive invoices via email?

Complete a Go Paperless Form (313KB) and send to ar@asx.com.au or fax 02 9227-0553.

Who do I contact to receive a copy of an invoice?

Accounts Receivable department at ar@asx.com.au

How can I get a summary of my account or an account statement?

Contact Accounts Receivable via email at ar@asx.com.au

Who do I contact if my address details have changed for billing purposes?

Complete an Update Customer Details Form (23KB) and email to Accounts Receivable at ar@asx.com.au

What do I do if I have an invoice dispute/query that does not relate to payment?

Contact the Helpdesk on 1300 362 257

How do I know which is the correct contact for my query?

Accounts Receivable will be the best point of contact for administrative questions about your account and / or invoice. Examples may include changing account details or requesting an account statement. If your question is more technical and requires the detail behind the invoice, for example how fees are calculated the Helpdesk will be the most suitable point of contact.

How are annual participant fees calculated?

Annual participant fees are disclosed in the Austraclear schedule of fees and charges (PDF 28KB).

What is the billing period for the annual participant fees?

Annual participant fees are charged in advance and cover the following calendar year. For example an invoice will be raised in December 2009 for annual participant fees for the calendar year 1st January 2010 to 31 December 2010.

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Austraclear Admission and Participation

How do I become a new participant of Austraclear?

To become a Participant of Austraclear, you must submit the appropriate application form and all relevant documentation requested to support the application. There are four types of Participant available: Full Participant, Associate Participant, Special Purpose Participant, Public Trust Participant.

Please contact participants@asx.com.au to commence the application process or raise any specific questions in relation to the above.

How much does it cost to become an Austraclear Participant?

There are Application and Annual Participant fees that are dependant on the type of Participation. In addition, there are network and other associated costs that should be taken into consideration - refer to the Austraclear schedule of fees and charges (PDF 28KB).

How long does it take to become a Participant?

The length of time required to process an application is dependant on the comprehensiveness of the information submitted with the form. You should allow between 2-4 weeks for the admission process to complete, dependant on the Participant type.

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Austraclear System Use

I am getting an error message 'Unauthorised to access the download page'. What am I required to do?

Contact your local Austraclear System Administrator and ask them to unlock your account and / or reset your password. The local Austraclear System Administrator is responsible for ensuring all users are able to log on.

How do we setup new users on the Austraclear System?

Contact your local System Administrator, they will be the point of contact for this request.

The coupon amount does not match what's in the Austraclear System

Please contact the Issuer Representative of that series

I am an administrator, how do I setup a new user?

Complete the Austraclear System training for Password Administrators.

I'm trying to enrol my Digital Certificate and am receiving the error message 'Passcode Mismatch'

'Passcode Mismatch' refers to all the fields, not just the passcode field. Please copy and paste from the email each field, and beware under 'First Name' that the user id information is used.

I am getting an error message 'Access is forbidden'.

Check that digital certificates are valid: Internet Explorer - Tools - Internet Options - Content - Certificates

Where do I direct my email queries?

Any queries relating to coupon payments and series set ups should be directed to: sfe.registry@asx.com.au
Queries relating to series' whereby Austraclear is the Issuer representative (ACSL21 or ACLR22) and SFE Margin should be directed to ipa@asx.com.au
Queries in relation to connection issues set up of Commercial Paper and Participant Queries should be directed to exigo@asx.com.au.

A comprehensive list of FAQs regarding the functional and operational aspects of Austraclear (PDF 66KB) is available.

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Austraclear Euro Entitlements Functionality

How do I transfer a global security from Euroclear/Clearstream to the Austraclear System?

Confirm whether the security is set up in the Austraclear System already and that it satisfies investment grade
If not, send the Registry team the Information Memorandum and/or Pricing Supp. along with the ISIN number in order to have the security set up in the system.
When the security has been set up, you will need to "request to deposit security" in the Austraclear System.
Print out Deposit report and in the comments field detail the Clearstream account number the security will be sent from along with the settlement date.
Sign the deposit report and fax to Austraclear
Enter the free of payment transaction in Clearstream against Austraclear's Clearstream account 84181 respectively.
This will then take overnight to settle
The following morning T+1, Austraclear will check Clearstream to ensure the transaction has settled and finally approve the deposit request in the Austraclear System.

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Austraclear Statistics

What was the amount of stock issued within the Austraclear System as at 31st August 2011?

$1,261,978,878,911.75

Where can I obtain a list of descriptions in relation to commonly used financial terms?

Please refer to the Austraclear Glossary (PDF 82KB).

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Austraclear New Fee Categories

With the introduction of the new Austraclear fees in relation to System report downloads, how can we reduce the number of report extractions from the System and the charges associated with those?

An alternative to having multiple users within your company extract the same report would be to provide all users of the Austraclear System within your organisation with access to the designated directory that is configured as the storage folder for report downloads.

Once provided with general access to that directory a user could then determine if in fact the report was already accessed and stored by another user thus eliminating the duplication of report extraction.

An alternative to downloading reports within the System is the utilisation of the on-line enquiry functionality which enables the user to extract the information displayed to CSV format.

Are the report downloads charges applied to all our companies sub-participants?

Yes these charges are applied to all sub-participants of the System.

If I access and download a report via a proxy relationship who does the charge get applied to?

The charge would be applied to the issuer of the proxy.

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Report Auto downloads

To automatically download reports, the following two steps should be completed in order.

Select when to automatically download reports.

To select when Reports are automatically downloaded, Open the “Global Report Preferences” settings, and ensure either:
1. Automatic Download Time is selected with a time entered for automatic download Or;
2. Download Reports at Startup is Ticked. (Startup is when the user logs in)
Note: Reports will not be automatically downloaded unless either A) or B) above is completed. User needs to be logged in at the time if A is selected.
Select whether default reports are automatically downloaded.

To select that all default reports are Automatically Downloaded, open the “Global Report Preferences” settings and ensure “Default Reports to Auto-Download” is ticked. Tick "Download Reports for Proxy Participants", to also download all default reports for proxy participants (default proxy reports do not auto download unless "Default Reports to Auto-Download" is also ticked).

Note: By default, all individual reports are initially set as default reports. Unless you want to receive all reports available in the system for your sub-participant, ASX recommends that you leave this option un-ticked and manually select which reports you want to Automatically Download. This can be done by configuring the individual report preferences for each Sub-Participant as per the Individual Report Preferences section below.

How do I select to stop downloading all reports that are empty (null)?

Open the “Global Report Preferences” settings, and ensure the option “Download Empty Reports” is no longer ticked. Select “Apply” and “OK” to save the new setting. (Refer Screenshot 1 below)

Note: This global setting can be overridden via each report’s individual settings.

Screenshot 1 – Global Report Preferences

Global Report Preferences

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Individual Report Preferences

How do I select whether to automatically download a particular report for a particular Sub-Participant or Proxy Sub-Participant?

Ensure Step 1 and Step 2 above has been completed.

Navigate to the list of reports for a particular Sub-Participant by accessing the Reports dialog and entering the sub-participant that you want to set the details for. (Refer Screenshot 3)

Select which report in which Batch you would like to configure and open the “Report Preferences” settings.

Ensure “Automatically Download” is ticked to automatically download that report in that batch. Select “Apply” and “OK” to save the new setting. (Refer Screenshot 2)

Note: Tick with white background or no tick indicates settings overrides global report preferences. Tick with grey background indicates report will use the global preferences. (See below)

How do I select to stop automatically downloading a particular report, when it is empty (null)?

Open the “Report Preferences” settings for the particular report you wish to change and ensure the option “Download Empty Reports” is no longer ticked. Select “Apply” and “OK” to save the new setting. (Refer Screenshot 2)

How do I select to use the global report preferences for the individual report settings?

Open the “Report Preferences” settings for the particular report, and ensure any checkboxes that you wish to use the global report preference settings for, have a greyed out tick. Select “Apply” and “OK” to save the new setting. (Refer Screenshot 2)

Note: All reports initially default to have a greyed out tick.

Note: Once you have completed all of your Automatic download settings, it is recommended that you refresh and check the Reports Dialog (Refer Screenshot 3), and ensure that each report you want to automatically download, has “Auto Load” ticked. If you set a report to auto download only when it is not empty, the Auto Load will only be ticked when the report is not empty.

Screenshot 2 – Individual Report Preferences

Individual Report Preferences

Screenshot 3 - Reports Dialog

Reports Dialog

How can I reduce the costs associated with operating multiple sub accounts within the system?

You can elect to transfer all stock held within your portfolio into the 'HOUSE' sub account under your sub participant structure and delete the unused sub accounts to avoid being charged fees.

This can be undertaken via the internal transfer function available within the Austraclear System at no cost to the user.

Who can delete sub accounts within the system?

Any user with the CL Sub Account Maintenance role is able to create, modify and delete sub accounts within the System.

How can I reduce the costs associated with operating multiple users for a sub-participant?

You can perform a reconciliation of the roles that are allocated to the users within the system to reduce the number of users. The Role Allocation report is available on the first business day of the month within the Austraclear System which will assist in determining if those additional users are required.

If those users are not required then you can delete them from the System and they will not attract any further charges.

All those users that are marked as 'inactive' or those that have not accessed the system for some time should also be considered for deletion.

Who can perform the deletion of a user within the System?

The Password Administrator for each Participant has the ability to delete a User from the Austraclear System. However it is a requirement that the user is in an 'inactive' state before a deletion can be undertaken.

Are proxy users charged under the new fee structure?

No proxy users are not charged.

As a participant of the Austraclear System do I receive any users or sub-accounts for free?

Yes all participants receive one free sub account & user per sub-participant.

Am I charged for users & sub accounts that are detailed as inactive within the system?

Yes all users & sub-accounts detailed as inactive attract the new charges however those marked as 'deleted' are not.

What are the different charges for report downloads?

The full list of those reports and charges are as follows:

Report	Price
Settlement Instruction PDF & CSV	$2.00
Cash Report PDF & CSV	$2.00
Cash List Reports (i.e. Interim & Final) PDF & CSV	$2.00
Holding PDF & CSV	$2.00
Income Receivable PDF & CSV	$2.00
Security Details PDF & CSV	$2.00
Issuer Rep DSS Maturities Payments PDF & CSV	$2.00
Issuer Rep 1st Run FIS Payments PDF & CSV	$2.00
Issuer Rep 2nd Run FIS Payments PDF & CSV	$2.00
Issuer Rep Holding Report PDF	$2.00
Issuer Rep Record Date Report PDF & CSV	$2.00
Record Date Report PDF	$2.00
Maturing Securities PDF & CSV	$2.00
Pledged Securities PDF & CSV	$2.00
Issuer Representatives Turnover	$1.30
Cash Open Trade	$1.30
FIS Open Trade	$1.30
Market Repo Open Trade	$1.30
IRS Payments & Receipts Due	$1.30
DSS Open Trade	$1.30
IRS Open Trade	$1.30
FRA Open Trade	$1.30
Outstanding Deposits And Withdrawals	$1.30
Market Repo Coupon Report	$1.30
FX Open Trade	$1.30
Turnover by Issuer	$1.30
Beneficial Holders by Issuer	$1.30
RBA Repo Open Trade	$1.30
Cash Record Audit / Limit	$1.30
Cash Provider Transaction Detail	$1.30
Place Payable Maturity	$1.30
Role Allocation	$1.30

Are the SWIFT fees applied to incoming and outgoing messages?

Yes separate charges are applied to those messages types determined as incoming & out going messages. The full list of those messages and charges is detailed within the Austraclear fee schedule and also listed below.

If a transaction is rejected by EXIGO (i.e. fails validation due to incorrect format or data) will I be charged a fee for the generation of that message by the ASX?

Yes the ASX will charge the fee which is applicable to all incoming SWIFT messages regardless if that message was successfully processed into EXIGO or not.

Are there charges that apply to Host to Host Lite messages?

Yes separate charges are applied to each transaction detailed within Host to Host Lite file. The full list of those messages and their charges is detailed within the Austraclear fee schedule and are also listed below.

Will I continue to be charged the input trade entry fee for transactions into EXIGO?

Yes the SWIFT & Host to Host Lite charges are in addition to the Austraclear System trade entry charge.

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Summary of New Fee Categories within the Austraclear Fee Schedule

Austraclear SWIFT Common Gateway & Host to Host Lite message charges

SWIFT Trade Initiation Messages (Incoming)

Message	Price
MT103 Single Customer Credit Transfer (Cash Payment)	40cents
MT202 General Financial Institution Transfer (Cash Payment)	40cents
MT210 Notice to Receive (Cash Receipt)	40cents
MT300 Foreign Exchange Trade Instruction	40cents
MT540 Receive Free	40cents
MT541 Receive Against Payment	40cents
MT542 Deliver Free	40cents
MT543 Deliver with Payment	40cents
MT549 Request for Statement / Status Advice	40cents

SWIFT response messages (outgoing)

Message	Price
MT198 Response to MT 1xx Messages (SMT 102 and SMT103)	30cents
MT298 Response to MT 2xx Messages (SMT 102 and SMT103)	30cents
MT300U Foreign Exchange Confirmation (return from ASX)	30cents
MT398 Response to MT 3xx Messages (SMT 102 and SMT103)	30cents
MT598 Response to MT 5xx Messages (SMT 102, SMT103)	30cents
MT535 Statement of Holding (Intraday, Interim or End of Day)	45cents
MT544 Settlement Confirmation for Receive Free	30cents
MT545 Settlement Confirmation for Receive Against Payment	30cents
MT546 Settlement Confirmation for Deliver Free	30cents
MT547 Settlement Confirmation for Deliver with Payment	30cents