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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

03/07/17 Guidance Note amendments: GNs 15, 15A, and 27 Compliance Update 06/17 (item 2)
31/03/17 Applications for in-principle advice: Guidance Notes 1, 15A & 17 Compliance Update 02/17 (item 2)
31/03/17 No more trading halts to facilitate sales of major shareholdings: Guidance Note 16 ASX Notice 0343.17.03
Compliance Update 02/17 (item 1)
19/12/16 Admission rule changes and accompanying Guidance Note changes: Introduction; Chapters 1, 2, 3, 4, 7, 8, 12, 15 & 19; Appendices 1A, 1B & 1C; Guidance Notes 1, 4, 5, 8, 9, 12, 14, 15a, 23, 27, 28, 29, 30 & 33 Compliance Update 11/16 (item 1)
01/09/16 Quarterly Cash Flow Reports – Appendices 4C & 5B Compliance Update 09/16 (item 1)
01/07/16

Listing Fees – Guidance Note 15A

Compliance Update 07/16 (item 7)

 

Recent ASX Operating Rules amendments

29/09/17 AQUA Products - Requirements for Admission: Procedure 10A.3.3 ASX Notice 1040.17.09
30/05/17 Removal of Schedules 1A & 1B ASX Notice 0569.17.05
30/05/17 Removing references to the ASX Voiceline service, which ceased operation on 31 October 2016: Rules 6800 & 7100 no notice
17/05/17 AQUA Products - Requirements for Admission: Procedure 10A.3.3 ASX Notice 0525.17.05
31/03/17 Updated Guidance Note 5 Suspension and Termination of Participants ASX Notice 0338.17.03
20/03/17 Request for Cancellation: Procedure 3200 ASX Notice 0256.17.03
06/02/17 AQUA Rule Changes – Expanded scope of the mFund Settlement Service: Rules 4652-4 & 7100; Schedules 10A.3.3, 10A.4.2 & 10A.4.5; Procedures Schedule 10A.4.2 & 10A.4.5; Guidance Note 15 ASX Notice 0029.17.01
19/12/16 Removing references to the ASX Voiceline service, which ceased operation on 31 October 2016: Procedures 2111 & 3330 no notice
26/08/16 Update to Guidance Notes 4 and 8 ASX Notice 1015.16.08
01/07/16 Amendment of Procedure 3310 - ETF Special Trades ASX Notice 0542.16.05

 

Recent ASX 24 Operating Rules amendments

09/10/17 Procedure change – Procedures 3200 & 3210 ASX Notice 0936.17.09

15/09/17

Quarterly update: Appendices 2.20.1, 2.21.1 & 2.36.1 – 3, 10 & 20 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures

ASX Notices  0923.17.09 0957.17.09

15/06/17

Quarterly update: Appendices 2.20.1, 2.21.1 & 2.36.1 – 3, 10 & 20 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures

ASX Notices 0622.17.03 0624.17.03

31/03/17 Updated Guidance Note 5 Suspension and Termination of Participants ASX Notice 0338.17.03
20/03/17 NTP Operating Rules ASX Notice 1340.16.11
15/03/17 Quarterly update: Appendices 2.20.1, 2.21.1 & 2.36.1 – 3, 10 & 20 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX Notices 0237.17.03 0247.17.03
18/01/17 Trading on Behalf of New Zealand Customers: Rules 1801 & 1802; Procedures 1801 & 1802 ASX Notice 0053.17.01
15/12/16 Quarterly update: Appendices 2.20.1, 2.21.1 & 2.36.1 – 3, 10 & 20 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX Notices 1509.16.12 1510.16.12
10/11/16 Amendment to Bond Trading Venue List for ASX Bond Futures Expiry: Appendices 2.20.1, 2.21.1 & 2.36.1 ASX Notice 1341.16.11
15/09/16 Quarterly update: Appendices 2.20.1, 2.21.1 & 2.36.1 – 3, 10 & 20 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX Notices 1082.16.09 1089.16.09
26/08/16 Update to Guidance Notes 4 and 8 ASX Notice 1015.16.08
08/08/16 Miscellaneous Procedure amendments: Procedures 3200.9-10 & 4820;
Appendices 2.77.5 & 2.77.6
ASX Notice 0800.16.07

 

Recent ASX Clear Operating Rules amendments

31/03/17 Updated Guidance Note 5 Suspension and Termination of Participants ASX Notice 0338.17.03
08/02/17 Amendments to ASX Clear Operating Rules Procedures – Collateral: Procedure 14.6.1; Annexures 1 & 2 ASX Notice 0121.17.02
06/02/17 Margin erosion percentage for intraday margin calls: Procedure 14.5.2 ASX Notice 1576.16.12
23/11/16 ASX Equity FlexClear™ – OTC Options Wholesale Client Agreement: Rules 7.1.3 & 12.1.1A; Schedule 5.17; Procedures 7.1.3 & 12.1.1A; new Annexure 13 ASX Notice 1339.16.11
08/09/16 ASX Equity FlexClear™ Rules Procedures amendments: Procedures 12.1.1A & 12.22.2 ASX Notice 1042.16.09
31/08/16 New Guidance Note 13 - Managing Liquidity Requirements ASX Notice 1030.16.08
26/08/16 Update to Guidance Notes 4 and 8 ASX Notice 1015.16.08

 

Recent ASX Settlement Operating Rules amendments

04/08/17 "FOR" Financial Products: Yancoal Australia Limited – Procedures: Schedule 1 ASX Notice 0812.17.08
03/07/17 Amendment to Guidance Note 13 to provide more detailed guidance on the process for applying to have financial products designated as “FOR Financial Products” and included in Schedule 1 of the ASX Settlement Operating Rules Procedures. no notice
29/06/17 "FOR" Financial Products: Link Administration Holdings Limited – Procedures: Schedule 1 ASX Notice 0710.17.06
31/03/17 Updated Guidance Note 5 Suspension and Termination of Participants ASX Notice 0338.17.03
28/03/17 "FOR" Financial Products: Visioneering Technologies, Inc. – Procedures: Schedule 1 ASX Notice 0321.17.03
24/03/17 "FOR" Financial Products: Downer EDI Limited – Procedures: Schedule 1 ASX Notice 0295.17.03
14/02/17 Addition of note to Rule 7.1.5: Death of a Holder ASX Notice 0140.17.02
06/02/17 AQUA Rule Changes – Expanded scope of the mFund Settlement Service: Rules 2.13.1, 18.3.1, 18.3.3, 18.3.9, 18.4.1, 18.4.3, 18.4.6 ASX Notice 0029.17.01
01/02/17 "FOR" Financial Products: removal of BuildingIQ Inc. – Procedures: Schedule 1 ASX Notice 0072.17.01
24/11/16 "FOR" Financial Products: Boral Limited – Procedures: Schedule 1 ASX Notice 1405.16.11
19/09/16 "FOR" Financial Products: JB Hi-Fi Limited – Procedures: Schedule 1 ASX Notice 1107.16.09
26/08/16 Update to Guidance Notes 4 and 8 ASX Notice 1015.16.08
15/08/16 mFund Settlement Service Chess 9 release: Rule 18; Appendix 1; Procedures 18 & Appendix 1 ASX Notice 0953.16.08
05/08/16 "FOR" Financial Products: Propertylink Group – Procedures: Schedule 1 ASX Notice 0921.16.08
05/08/16 "FOR" Financial Products: Osprey Medical Inc – Procedures: Schedule 1 ASX Notice 0916.16.08
04/07/16 "FOR" Financial Products: Vocus Communications Limited – Procedures: Schedule 1 ASX Notice 0777.16.07

 

Recent ASX Clear (Futures) Operating Rules amendments

03/07/17 Default Management processes: OTC Rules 2.1, Schedules 1 & 3; OTC Handbook Schedules 3 & 4 Consultation Response
03/07/17 New framework to facilitate client representation on ASX Clear (Futures) Risk Committee: Procedure 20 ASX Notice 0662.17.06
29/05/17 Client Clearing API amendments: OTC Rule 4.3; OTC Handbook 1.4, 2.15, 4.3 Consultation response
09/05/17 Amendment re Australian Auditing Standard: Procedures 4.14(a), Form 1 ASX Notice 0491.17.05
01/05/17 Changes to Capital Based Position Limit (CBPL) methodology: Schedule 11A ASX Notice 0417.17.04
31/03/17 New Guidance Note 5 Suspension and Termination of Participants ASX Notice 0338.17.03
20/03/17 Unintentional Crossing Prevention: Procedure 46.5 no notice
27/02/17 Extended Hours and Netting Synchronisation: OTC Handbook 1.6, 4.3, 4.5, 4.11, 4.15 ASX Notice 0172.17.02
17/10/16 Minor amendments to OTC Product coverage: OTC Handbook Schedule 1 ASX Notice 1220.16.10
03/10/16 Expansion of OTC Product coverage: OTC Handbook 4.5 & 5.6; Schedule 1 ASX Notice 1172.16.10
26/08/16 Update to Guidance Note 8 ASX Notice 1015.16.08
15/08/16 Amendments to OTC Affiliate Clearing Rules to support change in designation of ASX’s clearing system in MarkitWire to ‘Agency Model’: Rules 1, 31, 92 & 104; OTC Rules; OTC Handbook ASX Notice 0964.16.08
25/07/16 ASX 20 Year Treasury Bond Futures included in portfolio margining: OTC Handbook 5.5.1 ASX Notice 0807.16.07

Recent ASX Enforcement and Appeals Rulebook amendments

01/01/17 Reduce the minimum number of persons ASX must appoint to the Appeal Tribunal from 10 to 6 persons: Procedure 3.5.1 no notice

 

Recent Austraclear Regulations amendments

07/08/17 Amendment of Austraclear Regulations Procedure 10.2 Other Withdrawal – Mandatory (all Securities) ASX Notice 0825.17.08
31/03/17 New Guidance Note 5 Suspension and Termination of Participants ASX Notice 0338.17.03
23/01/17 Extension to the ASX Collateral service: Rule 28; Procedure 28 ASX Notice 0065.17.01
01/01/17 Framework to facilitate Austraclear’s compliance with the Common Reporting Standard: Rules 1.1, 17.2 & 21.6; Procedures 3.16, 10.2, 11.6, 17.2 & 21.6 ASX Notice 1560.16.12

 

Recent ASX Recovery Rules amendments

01/06/16

Minor miscellaneous amendments: Rules 1, 2 & 3

no notice
Recovery Rules Sections 1-3
01/06/16

Amended to provide for more rapid replenishment of the default funds of ASX Clear and ASX Clear (Futures) if those funds are depleted as a result of a participant default: Rules 4, 7 and Schedules.

ASX Notice 0569.16.05

 

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