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ASX Settlement Operating Rules

 

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

01/07/14

10

Management Requirements

not yet issued

11 Accessing Holdings in Error

27/02/15

12 Using a Settlement or Accumulation Account for Custodial Purposes

27/02/15

13 Financial Products Subject to Foreign Ownership Restrictions

27/02/15

 

 


Guidance Notes

Below you will find a list of the Guidance Notes issued by ASX in relation to the ASTC Settlement 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
ASTC Guidance Note 01 - Change of Holder Record Details
ASTC Guidance Note 02 - Disaster Recovery Requirements
Replaced by ASX Settlement Operating Rules GN 9 - Business Continuity and Disaster Recovery
ASTC Guidance Note 03 - Disciplinary Proceedings
ASTC Guidance Note 04 - Financial Products subject to Foreign Ownership Restrictions
Replaced by ASX Settlement Operating Rules GN 13 - Financial Products Subject to Foreign Ownership Restrictions
ASTC Guidance Note 05 - Instructions to Access Holdings
Replaced by ASX Settlement Operating Rules GN 11 - Accessing Holdings in Error
ASTC Guidance Note 06 - Issue of Management Letters
ASTC Guidance Note 07 - Waivers of ASTC Settlement Rules
Replaced by ASX Settlement Operating Rules GN 4 - Waivers and In-Principle Advice
ASTC Guidance Note 08 - ASX's Disciplinary Tribunals
ASTC Guidance Note 09 - Monitoring Compliance - Investigations
ASTC Guidance Note 10 - Financial Products in a Settlement or Accumulation Account
Replaced by ASX Settlement Operating Rules GN 12 - Using a Settlement or Accumulation Account for Custodial Purposes
ASTC Guidance Note 11 - Sponsorship Agreements
ASTC Guidance Note 12 - Access to CHESS Holdings by Issuers
ASTC Guidance Note 13 - Notification of Regulatory Action 
Replaced by ASX Settlement Operating Rules GN 8 - Notification Obligations

ASTC Guidance Note 14 - End-Clients Using Margined Financial Products - Risks For Participants
Replaced by ASX Clear Operating Rules GN 11 - Settlement Risks for Participants where Financial Products are Controlled by Third Parties 


Waivers

2015

2014

2013

2012

2011

2010

2009

2008

2007

2006

2005