Applications for Listing
- Appendix 1A - ASX Listing Application and Agreement
- Information Form and Checklist - ASX Listing
- Appendix 1B - ASX Debt Listing Application and Agreement
- Information Form and Checklist - ASX Debt Listing
- Appendix 1C - ASX Foreign Exempt Listing Application and Agreement
- Information Form and Checklist - ASX Foreign Exempt Listing
- Constitution Checklist
- Appendix 9A - Restriction Agreement
- ASX Restricted Securities Table
- ASX Online Agreement
- Sample Statutory Declaration required under Listing Rule 1.1 Condition 17 (‘good fame and character’ requirement - effective 1 May 2013)
Corporate Governance Road Show
A road show outlining the proposed 3rd edition of the ASX Corporate Governance Council Corporate Governance Principles and Recommendations and related ASX Listing Rule changes took place in September 2013.
View the power point presentation.
View a podcast of the presentation.
Reserves and Resources Reporting Requirements
The new reserves and resources reporting requirements came into effect on 1 December 2013.
View the presentations from the ASX/JORC mineral reserves and resources reporting and JORC Code 2012 national roadshow:
Access a podcast of the presentations here.
Access answers to FAQs on the new mineral reserves and resources reporting requirements here.
Access a podcast of the presentations here.
The new reporting requirements, effective from 1 December 2013, include:
- Amended rules
- Amended rules in mark-up
- Consequential amendments
- Guidance Note 31 - Reporting on Mining Activities
- Guidance Note 32 - Reporting on Oil and Gas Activities
- Appendix 5A - Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves
- Appendix 5B - Mining exploration entity and oil and gas exploration entity quarterly report
- Competent Person's Consent Form (JORC Code 2012)
The pre-1 December 2013 requirements, which may still apply in some cases under transitional provisions, include:
- List of Recognised Overseas Professional Organisations accepted for reporting under Appendix 5A (JORC Code 2004)
- Competent Person's Consent Form (JORC Code 2004)
Corporate Governance Documents
- Corporate Governance Council Principles and Recommendations (with 2010 amendments)
- Guidance Note 9 Annexure B (ASX Corporate Governance Council Recommendations Verification Worksheet)
- Guidance Note 9 Annexure C (Key to ASX Corporate Governance Council Recommended Disclosures)
Listing Rule 7.1A - Additional Placement Capacity
Guidance Note 8 (Continuous Disclosure) Consultation
View the following documents released on 13 March 2013:
- Review of ASX Listing Rules Guidance Note 8: Consultation Response
- Guidance Note 8: Continuous Disclosure: Listing Rules 3.1 - 3.1B (in clean and mark-up format)
- Continuous Disclosure: An Abridged Guide (in clean and mark-up format); and
- Disclosure-related amendments to the ASX Listing Rules (in clean and mark-up format).
View the slide presentations from ASX's April 2013 Continuous Disclosure national roadshow:
New: View a webcast of the ASX presentation.
Shortened ex period on corporate actions and new dividend reinvestment plan election date rule
From 14 April 2014, ASX will implement shorter timetables for traditional rights issues and introduce new standard timetables for accelerated rights issues. To facilitate the new timetables, the ex period for all corporate actions with an ex period (including dividends) will be reduced from 5 business days to 3 business days.
The reduction in the ex period will not apply to calls, conversion and expiries (which have an effective date rather than an ex date).
Any applicable corporate action announced before Monday, 14 April 2014, that institutes an ex-date that falls on or after 14 April 2014, will be subject to the new timetables. ASX advises listed entities planning a dividend or other corporate action in April 2014 to contact their listings adviser to confirm the timetable prior to making an announcement to market.
From 14 April 2014, ASX will also implement amendments to the timetable for dividends with the introduction of a new requirement for the last election date for participation in a dividend reinvestment plan to be set no earlier than the business day following the record date for the dividend.
View the amended ASX Listing Rules concerning the new timetables for rights issues and the timetable for dividends.
Participants Application Kit
Webinars for Participants
|Capital Monitoring – Introduction to Risk Based Capital Requirements||Marisa Khan||view|
|Capital Monitoring – Participant Obligations and Common Problems||Trully Smith||view|
|Capital Monitoring – Counterparty Risk Requirement||Trully Smith||view|
|Capital Monitoring – Position Risk Requirement||Trully Smith||view|
|Capital Monitoring – Other Risk Requirements||Marisa Khan||view|