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Recent rule amendments

There are regular updates to the operating rules of the ASX markets and clearing and settlement facilities. The information set out below provides details about recent changes to those rules.

The Rulebooks are also available to view online:

Recent ASX Listing Rules amendments

01/09/14 Listing Rules Guidance Notes 1 & 4 no notice
amendment summary
01/07/14 Listing Fees – Guidance Notes 15 & 15A no notice
01/07/14 Corporate Governance amendments Listed Entities Update 06/14
(item 2)
28/05/14 Guidance Note 15A – Clarification of the heading of Table 1D and removal of an incorrect footnote no notice
28/04/14 New Guidance Note 19 – Performance Shares Listed Entities Update 04/14
(item 4)
14/04/14 New rights issue timetables – Rules 1, 3, 6, 7 & 19; Appendices 3A, 6A & 7A Listed Entities Update 03/14
(item 4)
03/02/14 Listing Fees – Guidance Notes 15 & 15A no notice
01/01/14 Changes re long-term suspended entities – Guidance Note 8 & new Guidance Note 33 Media Release 28/11/13

Recent ASX Operating Rules amendments

28/07/14 ASX Trade Q3 2014 release – Rule 7100; Procedures 4024, 4030 & 7100 ASX Notice 0798.14.07
01/07/14 mFund – FATCA amendments ASX Notice 0567.14.05
23/06/14 Changes to ETO Operating Rule Procedures for Tailor Made Combinations: Procedure 4111 ASX Notice 0526.14.05
04/06/14 Book Build Session State times – Appendix 4013 ASX Notice 0577.14.06
14/04/14 New rights issue timetables – Rule 2113 Listed Entities Update 03/14
(item 4)
14/04/14 Changes to ETO Crossing Rule Procedures– Procedure 4060 ASX Notice 0189.14.03
21/03/14 mFund Settlement Service ASX Notice 0024.14.02
12/03/14 New Guidance Notes 2, 5, 6, 8 & 11 ASX Notice 0176.14.03
17/02/14 Ultra-high denomination Security Types – Procedures 4060, 4810 & 7100 ASX Trade Circular 0051.14.02
17/02/14 Changes to ETO Crossing Procedures – Procedures 4810 & 7100 Circular 005/14

Recent ASX 24 Operating Rules amendments

14/08/14 Block Trade Thresholds for ASX Interest Rate Futures: Procedure 4820 ASX Notice 0764.14.07
16/06/14 Update to ASX 3 and 10 Year New Zealand Government Stock Futures and ASX 3 Month Overnight Index Swap Futures settlement lists: Appendices 2.27.1, 2.28.1 & 2.35.1 ASX Notices 0407.14.04
0408.14.04
16/06/14 Quarterly update: Appendices 2.20.1 & 2.21.1 – 3 & 10 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX Notices 0579.14.06
0602.14.06
06/06/14 ASX 24 Exchange for Physical (EFP) transactions between ASX 24 SPI 200® Futures and ASX XJO Options: Procedure 4800 ASX Notice 0593.14.06
06/06/14 Removal of CFDs: Appendices 2.81.1-4, 2.81.6-7 & 2.82 ASX Notice 0231.14.03
26/05/14 Volatility Controls for Equity Index Futures Contracts: Procedures 3200, 4013 & 4402 ASX Notice 0338.14.04
25/03/14 CFD final trading days: Appendices 2.81.1 & 2.82 ASX Notice 0231.14.03
17/03/14 Quarterly update: Appendices 2.20.1 & 2.21.1 – 3 & 10 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX Notices
0152.14.03
0154.14.03
12/03/14 New Guidance Notes 2, 5, 6 & 8 ASX Notice 0176.14.03
26/02/14 Increase to ASX 3 and 10 Year Treasury Bond Futures Position Limits: Procedure 3400 ASX 24 Notice 008/14
20/01/14 Amendments to the Single Session Options Cancellation Ranges: Procedure 3200 ASX 24 Notice 229/13

Recent ASX Clear Operating Rules amendments

01/08/14 Amendment to the Minimum Core Capital requirement: Rules 2.10.1, 9.1.3 & 9.1.5; Schedule 1 S1.2.1; Procedures 9.1.3 & 9.1.5 ASX Notice 0810.14.07
01/07/14 New Guidance Note 9 – Business Continuity And Disaster Recovery ASX Notice 0710.14.07
23/06/14 Introduction of close-out netting: Rules 15.2.1 & 15.11 ASX Notice 0574.14.06
28/04/14 Financial Stability Standards: Rules 2, 4, 7, 10 & 12; Schedule 1; Procedures 2, 4, 12 & Sched 1; Annexures 1 & 11 ASX Notice 0362.14.04
28/04/14 New Guidance Notes 11 & 12 ASX Notice 0392.14.04
12/03/14 New Guidance Notes 2, 5, 6 & 8 ASX Notice 0176.14.03

Recent ASX Settlement Operating Rules amendments

25/08/14 "FOR" Financial Products: AGL Energy Limited – Procedures: Schedule 1 ASX Notice 0913.14.08
11/07/14 "FOR" Financial Products: removal of Blackthorn Resources Limited – Procedures: Schedule 1 ASX Notice 0727.14.07
01/07/14 mFund – FATCA amendments ASX Notice 0567.14.05
01/07/14 New Guidance Note 9 – Business Continuity And Disaster Recovery ASX Notice 0710.14.07
28/04/14 Rule amendments for Financial Stability Standards: Rules 2, 6, 8 & 10; Procedure 6.3A ASX Notice 0362.14.04
17/04/14 Updated Settlement Facilitation Service: Procedure 2 ASX Notice 0370.14.04
14/04/14 New rights issue timetables – Rules 8.26.1, 10.22.1 & 11.31.6 Listed Entities Update 03/14
(item 4)
21/03/14 mFund Settlement Service ASX Notice 0024.14.02
19/03/14 "FOR" Financial Products: inclusion of Spark Infrastructure Group – Procedures: Schedule 1 ASX Notice 0230.14.03
12/03/14 New Guidance Notes 2, 5, 6 & 8 ASX Notice 0176.14.03
26/02/14 "FOR" Financial Products: inclusion of Billabong International Limited – Procedures: Schedule 1 ASX Notice 0110.14.02
07/02/14 "FOR" Financial Products: removal of Linktone Ltd – Procedures: Schedule 1 Bulletin 024/14
20/01/14 Definition of Approved Market Operator: Procedure 2 Bulletin 702/13
Attachment A

Recent ASX Clear (Futures) Operating Rules amendments

01/08/14 CFTC no-action relief and trade reporting: OTC Rule 2.16 ASX Notice 0819.14.07
07/07/14 OTC Clearing: Rule 31.8; Procedure 112; OTC Rules 2.15, 6.12 & Sched 3; OTC Handbook 2.15, 5.8, 6.5, Sched 1 & Sched 3 ASX Notice 0594.14.06
01/07/14 New Guidance Note 9 – Business Continuity And Disaster Recovery ASX Notice 0710.14.07
19/05/14 Upgrade of the ASX Clear (Futures) clearing system from SECUR 17.2 to Genium Clearing: Procedure 16 ASX Notice 0291.14.04
28/04/14 Rule amendments for Financial Stability Standards: Rules 5.2 & 5.5 ASX Notice 0362.14.04
07/04/14 OTC Clearing Client Protection Model provisions: OTC Rules 1, 2, 4, Schedule 1; OTC Handbook 4, Schedules 1 & 7 ASX Notice 0192.14.03
24/02/14 ASX 24 Agricultural Derivatives: Change to Open Interest Procedures 46.3 & 46.5 ASX 24 Notice 007/14
11/02/14 Client Clearing Operating Rules ASX 24 Notice 005/14

Recent ASX Enforcement and Appeals Rulebook amendments

No recent amendments.

Recent Austraclear Regulations amendments

25/08/14 Austraclear framework to support FATCA Compliance: Rule 3.16; Procedures 3.16 & 11.6 ASX Notice 0850.14.08
25/07/14 Cash transfers in approved foreign currencies: Rules 1, 12, 13, 14, 15, 16, 20, 23, 28 & 29; Procedures 14 & 29 ASX Notice 0812.14.07

 

1 August 2010: New Operating Rules for ASX and SFE

On 1 August 2010 new operating rules were introduced for the ASX and SFE markets. The SFE market was renamed the ASX 24 and this name has been used in the new Rules.

A document explaining the changes, along with copies of the new Rules and associated Procedures are available as follows:

ASX Operating Rules ASX 24 Operating Rules
ASX Operating Rules Schedules ASX 24 Schedule 1
ASX Operating Rules Procedures ASX 24 Procedures
ASX Operating Rules Procedures Appendices ASX 24 Procedures Appendices

Please note that the formatting and page numbers for these rules and procedures are not yet finalised, but the content and rule and procedure numbers will not change.

Consequential changes to other rulebooks:

ASX Enforcement and Appeals Rulebook(previously called the Australian Securities Exchange Disciplinary Processes and Appeals Rulebook)

ASX Clear Operating Rules(previously called the ACH Clearing Rules)

ASX Settlement Operating Rules(previously called the ASTC Settlement Rules)

ASX Clear (Futures) Operating Rules (previously called the Clearing Rules of SFE Clearing)

Austraclear Regulations

ASX Listing Rules