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ASX Operating Rules

 

Guidance Notes

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

Maintenance of an Orderly Market When Closing Out Settlement Failures

not yet issued

10

Spread of Warrant Holders

not yet issued

11

Obligations on the Expiry of a Warrant

12/03/14

 

 


OLD ASX Market Rules Guidance Notes

Below you will find a list of the Guidance Notes in relation to the ASX Market 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.

As a consequence of the transfer of certain supervisory powers to ASIC in August 2010, the Guidance Notes marked * and corresponding rules are overseen by ASIC. The remaining Guidance Notes continue to be overseen by ASX.

Description
* ASX Guidance Note 1 - Prevention of Manipulative Trading
ASX Guidance Note 2 - Record of Action Announcement
* ASX Guidance Note 3 - Reporting to Clients - Confirmations
* ASX Guidance Note 4 - New Clients
* ASX Guidance Note 5 - New Clients - Electronic Client Agreements
* ASX Guidance Note 6 - Management Requirements
* ASX Guidance Note 7 - Management Requirements - Good Fame & Character
* ASX Guidance Note 8 - Insurance Requirements

ASX Guidance Note 9 - Expiry of Unexercised Deliverable Warrants
Replaced by new ASX Operating Rules GN 11 - Obligations on the Expiry of a Warrant

* ASX Guidance Note 11 - Client Order Priority
* ASX Guidance Note 12 - Client Money & Property - Client Funds
* ASX Guidance Note 13 - Prohibition of Advice to Clients

ASX Guidance Note 15 - Waivers of ASX Market Rules - Participants
Replaced by new ASX Operating Rules GN 04 - Waivers and In-Principle Advice

ASX Guidance Note 17 - Spread of Warrant Holders
* ASX Guidance Note 19 - Automated Order Processing - Certification
* ASX Guidance Note 21 - Automated Order Processing - Authorised Persons
* ASX Guidance Note 22 - Automated Order Processing - Operational Requirements
* ASX Guidance Note 23 - New Clients or Clients Trading
ASX Guidance Note 25 - Monitoring Compliance - Investigations

ASX Guidance Note 26 - ASX Approach to Privacy Laws
Replaced by new ASX Operating Rules GN 06 - Privacy Matters

* ASX Guidance Note 27 - Ongoing Compliance and Supervision
* ASX Guidance Note 29 - Managed Discretionary Accounts
* ASX Guidance Note 31 - Client Agreements - Requirements
ASX Guidance Note 32 - Bulk Authorisation of Index Arbitrage Orders
* ASX Guidance Note 33 - Trading Records
ASX Guidance Note 35 - Notification of Regulatory Action
ASX Guidance Note 36 - End-Clients Using Margined Financial Products - Risks For Participants
ASX Guidance Note 37 - Maintenance of an Orderly Market When Closing Out Settlement Failures

 

 


Waivers

Waivers are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

Month ASX Operating Rules
All Warrant & AQUA
Product Issuer
August 1-15, 2014 PDF PDF
July 16-31, 2014 PDF PDF
July 1-15, 2014 PDF     PDF
June 16-30, 2014 PDF PDF
June 1 - 15, 2014 PDF     PDF
May 16-31, 2014 PDF PDF
May 1-15, 2014 PDF     PDF
April 16-30, 2014 PDF   PDF
April 01-15, 2014 PDF PDF
March 16-31, 2014 PDF PDF
March 01-15, 2014 PDF PDF
February 16-28, 2014 PDF PDF
February 01-15, 2014     PDF PDF
January 16-31, 2014 PDF PDF
January 01-15, 2014     PDF PDF
December 16-31, 2013 PDF PDF
December 01-15, 2013 PDF PDF
November 16-30, 2013 PDF PDF
November 01-15, 2013 PDF PDF
October 16-31, 2013 PDF PDF
October 01-15, 2013 PDF PDF
September 16-30, 2013 PDF PDF
September 01-15, 2013 PDF PDF
August 16-31, 2013 PDF PDF
August 01-15, 2013 PDF PDF
July 16-31, 2013 PDF PDF
July 01-15, 2013 PDF PDF
June 16-30, 2013 PDF PDF
June 01-15, 2013 PDF PDF
May 16-31, 2013 PDF PDF
May 01-15, 2013 PDF PDF
April 16-30, 2013 PDF PDF
April 01-15, 2013 PDF PDF
March 16-31, 2013 PDF PDF
March 01-15, 2013 PDF PDF
February 16-28, 2013 PDF PDF
February 01-15, 2013 PDF PDF
January 16-31, 2013 PDF PDF
January 01-15, 2013 PDF PDF
December 16-31, 2012 PDF PDF
December 01-15, 2012 PDF PDF
November 16-30, 2012 PDF PDF
November 01-15, 2012 PDF PDF
October 16-31, 2012 PDF PDF
October 01-15, 2012 PDF PDF
September 16-30, 2012 PDF PDF
September 01-15, 2012 PDF PDF
August 16-31, 2012 PDF PDF
August 01-15, 2012 PDF PDF
July 16-31, 2012 PDF PDF
July 01-15, 2012 PDF PDF
June 16-30, 2012 PDF PDF
June 01-15, 2012 PDF PDF
May 16-31, 2012 PDF PDF
May 01-15, 2012 PDF PDF
April 16-30, 2012 PDF PDF
April 01-15, 2012 PDF PDF
March 16-31, 2012 PDF PDF
March 01-15, 2012 PDF PDF
February 16-29, 2012 PDF PDF
February 01-15, 2012 PDF PDF
January 16-31, 2012 PDF PDF
January 01-15, 2012 PDF PDF
December 16-31, 2011 PDF PDF
December 01-15, 2011 PDF PDF
November 16-30, 2011 PDF PDF
November 01-15, 2011 PDF PDF
October 16-31, 2011 PDF PDF
October 01-15, 2011 PDF PDF
September 16-30, 2011 PDF PDF
September 01-15, 2011 PDF PDF
August 16-31, 2011 PDF PDF
August 01-15, 2011 PDF PDF
July 16-31, 2011 PDF PDF
July 01-15, 2011 PDF PDF
June 16-30, 2011 PDF PDF
June 01-15, 2011 PDF PDF
May 16-31, 2011 PDF PDF
May 01-15, 2011 PDF PDF
April 16-30, 2011 PDF PDF
April 01-15, 2011 PDF PDF
March 16-31, 2011 PDF PDF
March 01-15, 2011 PDF PDF
February 16-28, 2011 PDF PDF
February 01-15, 2011 PDF PDF
January 16-31, 2011 PDF PDF
January 01-15, 2011 PDF PDF
December 16-31, 2010 PDF PDF
December 01-15, 2010 PDF PDF
November 16-30, 2010 PDF PDF
November 01-15, 2010 PDF PDF
October 16-31, 2010 PDF PDF
October 01-15, 2010 PDF PDF
September 16-30, 2010 PDF PDF
September 01-15, 2010 PDF PDF
August 16-31, 2010 PDF PDF
August 01-15, 2010 PDF PDF
July 16-30, 2010 PDF PDF
July 01-15, 2010 PDF PDF
June 16-30, 2010 PDF PDF
June 01-15, 2010 PDF PDF
May 16-31, 2010 PDF PDF
May 01-15, 2010 PDF PDF
April 16-30, 2010 PDF PDF
April 01-15, 2010 PDF PDF
March 16-31, 2010 PDF PDF
March 01-15, 2010 PDF PDF
February 16-28, 2010 PDF PDF
February 01-15, 2010 PDF PDF
January 16-31, 2010 PDF PDF
January 01-15, 2010 PDF PDF
December 16-31, 2009 PDF PDF
December 01-15, 2009 PDF PDF
November 16-30, 2009 PDF PDF
November 01-15, 2009 PDF PDF
October 16-31, 2009 PDF PDF
October 01-15, 2009 PDF PDF
September 16-30, 2009 PDF PDF
September 01-15, 2009 PDF PDF
August 16-31, 2009 PDF PDF
August 01-15, 2009 PDF PDF
July 16-31, 2009 PDF PDF
July 01-15, 2009 PDF PDF
June 16-30, 2009 PDF PDF
June 01-15, 2009 PDF PDF
May 16-31, 2009 PDF PDF
May 01-15, 2009 PDF PDF
April 16-30, 2009 PDF PDF
April 01-15, 2009 PDF PDF
March 16-31, 2009 PDF PDF
March 01-15, 2009 PDF PDF
February 16-28, 2009 PDF PDF
February 01-15, 2009 PDF PDF
January 16-31, 2009 PDF PDF
January 01-15, 2009 PDF PDF
December 16-31, 2008 PDF PDF
December 01-15, 2008 PDF PDF
November 16-30, 2008 PDF PDF
November 01-15, 2008 PDF PDF
October 16-31, 2008 PDF PDF
October 01-15, 2008 PDF PDF
September 16-30, 2008 PDF PDF
September 01-15, 2008 PDF PDF
August 16-31, 2008 PDF PDF
August 01-15, 2008 PDF PDF
July 16-31, 2008 PDF PDF
July 01-15, 2008 PDF PDF
June 16-30, 2008 PDF PDF
June 01-15, 2008 PDF PDF
May 16-31, 2008 PDF PDF
May 01-15, 2008 PDF PDF
April 16-30, 2008 PDF PDF
April 01-15, 2008 PDF PDF
March 16-31, 2008 PDF PDF
March 01-15, 2008 PDF PDF
February 16-29, 2008 PDF PDF
February 01-15, 2008 PDF PDF
January 16-31, 2008 PDF PDF
January 01-15, 2008 PDF PDF
December 16-31, 2007 PDF PDF
December 01-15, 2007 PDF PDF
November 16-30, 2007 PDF PDF

November 01-15, 2007

PDF PDF
October 16-31, 2007 PDF PDF
October 01-15, 2007 PDF PDF
September 16-30, 2007 PDF PDF
September 01-15, 2007 PDF PDF
August 16-31, 2007 PDF PDF
August 01-15, 2007 PDF PDF
July 2007 PDF PDF
June 2007 PDF PDF
May 2007 PDF PDF
April 2007 PDF PDF
March 2007 PDF PDF
February 2007 PDF PDF
January 2007 PDF PDF
December 2006 PDF PDF
November 2006 PDF PDF
October 2006 PDF PDF
September 2006 PDF PDF
August 2006 PDF PDF
July 2006 PDF PDF
June 2006 PDF PDF
May 2006 PDF PDF
April 2006 PDF PDF
March 2006 PDF PDF
February 2006 PDF PDF
January 2006 PDF PDF
December 2005 PDF PDF
November 2005 PDF PDF
October 2005 PDF PDF
September 2005 PDF PDF
August 2005 PDF PDF
July 2005 PDF PDF
June 2005 PDF PDF
May 2005 PDF PDF
April 2005 PDF PDF
March 2005 PDF PDF
February 2005 PDF PDF

 

 


Old ASX Market Rules (prior to 01/08/10)

NOTE: These Rules were replaced on 1 August 2010. They are provided here for historical purposes only.

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 Participants and Representatives
Section 4 Rights and Obligations of Market Participants and Responsible Executives
Section 5 Clearing and Settlement Arrangements
Section 6 Capital Requirements
Section 7 Relationship with Clients and Dealing for Employees and Related Persons
Section 8 Designated Trading Representatives and Accreditation of Advisers
Section 9 Legal Description of Classes of Financial Products
Section 10 Warrants
Section 10A AQUA Products and the AQUA Trading Market
Section 10B AQUA Quote Display Board
Section 11 Derivatives Market Contracts
Section 12 Trading Permission
Section 13 Trading Obligations of Trading Participants
Section 14 Market Suspensions, Technical Failure and other Orderly Market Powers
Section 15 Trade Errors, Cancellations and Dealing Disputes
Section 16 Cash Market Products and Cash Only Combinations
Section 17 Crossings - Cash Market Products
Section 18 Special Crossings - Cash Market Products
Section 19 Short Selling - Cash Market Products
Section 20 Takeover Bids, Schemes and Buy-Backs Conducted On-Market
Section 21 Derivatives Market Contracts and Derivatives Combinations
Section 22 Crossings - Derivatives Market Products
Section 23 Market Makers - Derivatives Market Contracts
Section 24 Exchange for Physical (EFP) Transactions - Futures
Section 25 Trading Restrictions and Limits - Derivatives Market Contracts
Section 26 Wholesale Loan Securities
Section 27 Overseas Market Linkages
Section 28 Supervision, Disciplinary Matters, Tribunal Proceedings and Appeals
Section 29 Transitional Arrangements for existing ASX Participants and ASXF Participants
Section 30 Transitional Arrangements for existing ASX Participating Organisations relying on Affiliate Basis of Recognition
Section 31 Trading Platform
Section 32 ITS Transitional Provisions
Schedule 1A - Risk Based Capital Requirements
Schedule 1A - Annexures
Schedule 1B NTA Requirements
Schedule 2-7 - Futures Contracts
Schedule 8 - Delivery and Settlement of Non CS Approved Products
Schedule 9 - Rules of Division 3 - Compensation Arrangements
Schedule 10 - Market Bid Agreement - Minimum Terms
ASX Market Rule Procedures
ASX Market Rule Procedures - Appendices
ASX Market Rule Guidance Notes
Cross Reference Tables