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ASX Clear Operating Rules

 

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
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, Emergency Assessments 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 Destination
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
Section 22 Transitional Arrangement for Existing ASX Participating Organisations (Cash Market Transactions)
Section 23 Transitional Arrangements for Existing ASX Participating Organisations (Derivatives)
Schedule 1 - Risk Based Capital Requirements
Schedule 1A - Annexures
Schedule 2 - NTA Requirements
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
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
ASX Clear Operating Rules Procedures - Annexure 4
ASX Clear Operating Rules Procedures - Annexure 5
ASX Clear Operating Rules Procedures - Annexure 6
ASX Clear Operating Rules Procedures - Annexure 7
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
ASX Clear Operating Rules Procedures - Annexure 12

 


Guidance Notes

Below you will find a list of the Guidance Notes issued by ASX in relation to the ASX Clear Operating 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.

Guidance Note Date of last re-issue

1

Admission as a Participant

not yet issued

2

Resigning a Participation

12/03/14

3

Changes in Participation

not yet issued

4

Waivers and In-Principle Advice

05/08/13

5

Suspension and Termination of Participants

12/03/14

6

Privacy Matters

12/03/14

7

Client Agreements

not yet issued

8

Notification Obligations

12/03/14

9

Disaster Recovery Requirements

not yet issued

10

Management Requirements

not yet issued

11

Settlement Risks for Participants where Financial Products are Controlled by Third Parties

not yet issued

12

Trust and Client Segregated Accounts

not yet issued

 

 


Waivers

2014

2013

2012

2011

2010

2009

2008

2007

2006

2005