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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 - Deleted 28/04/14
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

Business Continuity and Disaster Recovery

01/07/14

10

Management Requirements

not yet issued

11

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

28/04/14

12

Trust and Client Segregated Accounts

28/04/14

 

 


OLD ACH Guidance Notes

Below you will find a list of the Guidance Notes issued by ASX in relation to the ACH 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
ACH Guidance Note 1 - Disaster Recovery
Replaced by new ASX Clear Operating Rules GN 9 - Business Continuity and Disaster Recovery
ACH Guidance Note 2 - Disciplinary Proceedings
ACH Guidance Note 3 - Insurance Requirements
ACH Guidance Note 4 - Management Requirements
ACH Guidance Note 5 - New Clients – Electronic Client Agreements
ACH Guidance Note 6 - Ongoing Compliance - Transition
ACH Guidance Note 7 - Record of Action and Announcement
ACH Guidance Note 8 - Responsible Executives
ACH Guidance Note 9 - Waivers of ACH Clearing Rules
Replaced by new ASX Clear Operating Rules GN 4 - Waivers and In-Principle Advice
ACH Guidance Note 10 - ASX’s Disciplinary Tribunals
ACH Guidance Note 11 - Ongoing Compliance - Responsibilities
ACH Guidance Note 12 - Monitoring Compliance - Investigations
ACH Guidance Note 13 - Risk Management Framework
ACH Guidance Note 14 - Periodic Reporting Requirements
ACH Guidance Note 15 - Client Agreements - Requirements
ACH Guidance Note 16 - Notification of Regulatory Action
ACH Guidance Note 17 - End-Clients Using Margined Financial Products - Risks For Participants
Replaced by new ASX Clear Operating Rules GN 11 - Settlement Risks for Participants

 

 


Waivers

2014

2013

2012

2011

2010

2009

2008

2007

2006

2005