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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

01/07/15 Listing Fees – Guidance Note 15A Compliance Update 07/15
(item 2)
01/07/15 Revised Guidance Note 8 Continuous Disclosure: Listing Rules 3.1 - 3.1B Compliance Update 07/15
(item 3)
29/06/15 Corporate Actions STP: Appendices 03A.1-03A.5 Compliance Update 06/15
25/05/15 Amendments to enhance awareness of the impact on holdings of a share transfer under s444GA by allowing the suspended financial products to remain on CHESS: Appendix 7A ASX Notice 0307.15.04
30/04/15 Guidance Notes 3, 23 & 26: GNs are being revised as part of ASX’s ongoing project to refresh all of its Listing Rule Guidance Notes.

Listing Rules Guidance Note 25: Exercise of Discretions is also being withdrawn.  The guidance it contains is outdated and has largely been replaced by more specific guidance in the updates ASX has made to other Guidance Notes as part of their refresh.

Compliance Update 04/15
17/02/15 Guidance Notes 1, 4, 29 & 30: Correction to Swift Code for overseas customers (GN 1 section 2.5; GNs 4 & 29 section 2.4; GN 30 section 5.5) no notice
30/01/15 Updated guidance on share trading policies and debt securities – Guidance Notes 27, 29, 30 & 34 Compliance Update 02/15
(item 1)
30/09/14 Listing Rules Guidance Note 12 Listed Entities Update 11/14
(item 1)
22/09/14 Listing Rules Guidance Note 17 Listed Entities Update 10/14
(item 2)
22/09/14 Straight Through Processing amendments Listed Entities Updates
08/14
09/14
01/09/14 Listing Rules Guidance Notes 1 & 4 Listed Entities Update 09/14
(item 1)
01/07/14 Listing Fees – Guidance Notes 15 & 15A no notice
01/07/14 Corporate Governance amendments Listed Entities Update 06/14
(item 2)

 

Recent ASX Operating Rules amendments

25/06/15 Additional requirements for OTC Derivatives based ETFs and OTC Derivatives based Managed Funds: Procedure 10A.4.6 ASX Notice 0729.15.06
15/06/15 Reducing red tape amendments and Guidance Note 1 Admission as a Participant

ASX Notices
0508.15.05
0673.15.06

01/06/15 Anomalous Order Threshold (AOT) and Regulatory Halt Changes: Procedures 3200 & 3260 ASX Notice 0427.15.05
13/05/15 AQUA and Warrant Rule and Procedure amendments: Rule 7100 and related Procedures; Schedules 10 & 10A and related Procedures & Appendices ASX Notice 0353.15.04
07/05/15 Removal of NS status note: Appendix 4013 ASX Notice 0447.15.05
04/05/15 Phase 2 launch of ASX Equity FlexClear – Procedures 3002, 3500 & 7100 ASX Notice 0220.15.03
20/04/15 ASX Trade Q2 2015 Release (SR8) – Rules 4024, 7100; Procedures 3260, 3500, 4024, 4030, 4060 & 7100 ASX Notice 0358.15.04
31/03/15 New Guidance Note 14 – Maintenance of an Orderly Market When Executing Index Arbitrage Orders ASX Notice 0286.15.03
16/03/15 The reference to "Channel Islands Securities Exchange" has been updated to "The Channel Islands Securities Exchange Authority Limited" in the definition of Recognised Stock Exchange – Procedure 7100 no notice
27/02/15 New Guidance Notes: GNs 12, 13 & 15 ASX Notice 0141.15.02
02/02/15 Introduction of Automatic-Exercise for ASX Exchange Traded Options: Rule 7100 ASX Notice 0039.15.01
14/11/14 AQUA Products – Procedure 10A.3.3 ASX Notice 1279.14.11
10/11/14 Amendments to reflect the changes to the roles and responsibilities for monitoring the BookBuild process within the various businesses of ASX – Procedure 4910; Appendix 4910 ASX Notice 1262.14.11
20/10/14 The reference to "Channel Islands Stock Exchange" has been updated to "Channel Islands Securities Exchange" in the definition of Recognised Stock Exchange – Procedure 7100 no notice
08/09/14 Notification requirements around changes in directors and Automated Order Processing systems – Procedures 1000(g), 1400(e) & 1401(a) ASX Notice 0952.14.09
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

 

Recent ASX 24 Operating Rules amendments

15/06/15 Reducing red tape amendments and Guidance Note 1 Admission as a Participant

ASX Notices
0508.15.05
0673.15.06

15/06/15 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 0620.15.06
0621.15.06
01/06/15 Anomalous Order Threshold (AOT) and Regulatory Halt Changes: Procedure 3200 ASX Notice 0428.15.05
01/06/15 Correction to Australian Electricity Market Opening Time in Procedure 4820 ASX Notice 1266.14.11
06/05/15 Cut Off time for the submission of Day One Cancellation and Day Two Replacement requests: Procedure 4820 ASX Notice 0422.15.05
06/05/15 Strip Options over Victorian Wholesale Gas Futures Contract - the specifications for the Strip Options over Victorian Wholesale Gas Futures Contract are being removed because that contract was never listed on ASX 24: Appendix 2.69.2 no notice
07/04/15 ASX Australia and New Zealand Natural Gas Futures – New contracts: Schedules 2.69.3 & 2.69.4; Procedures 2500, 3200, 4401, 4800 & 4820; Appendices 2.69.3.1-2 & 2.69.4.1-2 ASX Notice 0187.15.03
23/03/15 Delisting of 3 and 10 Year Interest Rate Swap Futures contracts: Appendices 2.23 & 2.24 ASX Notice 0247.15.03
16/03/15 ASX Grain Futures and Options Revised Block Trade Minimum Thresholds: Procedure 4820 ASX Notice 0076.15.02
16/03/15 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 0192.15.03
0193.15.03
15/12/14 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
1406.14.12
1407.14.12
08/12/14 ASX 10 Year Bond Futures – Quarter Tick Trading for the December 2014 Bond Roll: Appendices 2.20.1, 2.20.4, 2.20.5 ASX Notice 1412.14.12
08/12/14 Australian Electricity Market Opening Time: Appendices 2.60.1.1 – 2.60.2.4; 2.62.1.1 – 2.62.1.4; 2.63.1.1 – 2.64.2.4 & 2.66.1.1 – 2.66.1.4 ASX Notice 1266.14.11
01/12/14 Introduction of ASX Pack and Bundle Products on 90 Day Bank Bill Futures: Procedures 2500, 3200, 4402 & 4820 ASX Notice 1183.14.10
ASX Notice 1280.14.11
24/11/14 Change of Block Trade Parameters for Sector Futures and A-VIX Futures: Procedure 4820 ASX Notice 1187.14.10
27/10/14 S&P/ASX 200 Australian Real Estate Investment Trust (A-REIT) Index Futures: Schedule 2.49; Appendix 2.49; Procedures 2500, 3200 & 4820 ASX Notice 1074.14.09
13/10/14 Removal of ASX 3 Month Overnight Index Swap Futures: Appendix 2.35.1 ASX Notice 0997.14.09
15/09/14 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 0988.14.09
0989.14.09
15/09/14 ASX Bond Futures Expiry Settlement Price Determination Update: Schedules 2.20.1 & 2.21.1; Appendices 2.20.1 & 2.21.1 ASX Notice 0998.14.09
08/09/14 Notification requirements around changes in directors – Procedure 1400(e) ASX Notice 0952.14.09
14/08/14 Block Trade Thresholds for ASX Interest Rate Futures: Procedure 4820 ASX Notice 0764.14.07

 

Recent ASX Clear Operating Rules amendments

15/06/15 Reducing red tape amendments and Guidance Note 1 Admission as a Participant

ASX Notices
0508.15.05
0673.15.06

25/05/15 Enhancement of client asset protections (Client Segregation project): Rule 4.25.1; Procedure 4.24.1 ASX Notice 0431.15.05
04/05/15 Phase 2 launch of ASX Equity FlexClear – Procedures 2, 12.1.1A, 12.16.1, 13.4.4, 20.1.6 & Annexure 12 ASX Notice 0220.15.03
04/03/15 Foreign ADIs: Procedure 5.2.1 no notice
02/02/15 Introduction of Automatic-Exercise for ASX Exchange Traded Options: Rules 2.10, 20.1-20.7; Procedures 6.9, 20.1.1-20.7.1 ASX Notice 0039.15.01
21/11/14 Amendments to stock LEPO Settlement: Rules 2.10.1, 20.3.2 & 20.3.5; Procedures 10.4.1-2, 20.3.2, 4 & 5 ASX Notice 1288.14.11
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

 

Recent ASX Settlement Operating Rules amendments

15/06/15 Reducing red tape amendments and Guidance Note 1 Admission as a Participant

ASX Notices
0508.15.05
0673.15.06

03/06/15 "FOR" Financial Products: Templeton Global Growth Fund Limited – Procedures: Schedule 1 ASX Notice 0608.15.06
25/05/15 Enhancement of client asset protections (Client Segregation project): Rules 2.13.1, 6.2.3, 6.3B & 10; Appendix 1; Procedures 6.3B.2, 6.3B.3 & 6.3B.4 ASX Notice 0431.15.05
25/05/15 Amendments to enhance awareness of the impact on holdings of a share transfer under s444GA by allowing the suspended financial products to remain on CHESS: Rules 8.4.1, 8.4.3, 8.4.4, 8.5.4 & 8.14.1 ASX Notice 0307.15.04
12/05/15 "FOR" Financial Products: National Australia Bank – Procedures: Schedule 1 ASX Notice 0477.15.05
27/02/15 New Guidance Notes: GNs 11, 12 & 13 ASX Notice 0141.15.02
10/02/15 "FOR" Financial Products: Tabcorp Holdings – Procedures: Schedule 1 ASX Notice 0080.15.02
22/12/14 "FOR" Financial Products: Boart Longyear – Procedures: Schedule 1 ASX Notice 1494.14.12
18/09/14 "FOR" Financial Products: Arrium Limited – Procedures: Schedule 1 ASX Notice 1042.14.09
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

 

Recent ASX Clear (Futures) Operating Rules amendments

15/06/15 Reducing red tape amendments and Guidance Note 1 Admission as a Participant

ASX Notices
0508.15.05
0673.15.06

27/02/15 New Guidance Notes: GNs 2, 4 & 6 ASX Notice 0142.15.02
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

Recent ASX Enforcement and Appeals Rulebook amendments

15/06/15 Reducing red tape amendments ASX Notice 0508.15.05
25/05/15 Amendments re enforcing compliance with the operating rules of each of the ASX Group’s licensed markets and clearing and settlement facilities and appeals available under those rules ASX Notice 0546.15.05

 

Recent Austraclear Regulations amendments

15/06/15 Update Guidance Note 10 - Business Continuity and Disaster Recovery no notice
01/04/15 Special Purpose Participants and Foreign Currency Settlement Banks: Rules 1.1, 2.2, 13.4 & 13.5 no notice
20/10/14 New Austraclear Guidance Note: Business Continuity and Disaster Recovery ASX Notice 1172.14.10
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