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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

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)
14/03/16 Electronic lodgement facility agreement update: Guidance Note 20 Compliance Update 03/16 (item 7)
07/03/16 T+2 Settlement for Cash Equities: Rules 3.20.2, 7.14, 7.15, 7.17.2 & 19.12; Appendices 3A, 3A.1-6, 6A & 7A; Guidance Notes 28 & 30 ASX Notice 0155.16.02

 

Recent ASX Operating Rules amendments

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
27/06/16

Amendment of Procedure, Schedules & Appendices 10A (AQUA Products and the AQUA Trading Market)

ASX Notice 0746.16.06
16/06/16

Amendment of ASX Operating Rules Procedure 4025

ASX Notice 0540.16.05
03/06/16

Amended Procedure 10.A.3.3(c)(ii) to include the Markit iBoxx USD Liquid Investment Grade Index ("Markit Index")

ASX Notice 0625.16.06
07/03/16 T+2 Settlement for Cash Equities: Rules 2113, 3600; Procedures 3200, 3335, 3600, 4606, 4707 & 7100; Guidance Note 13 ASX Notice 0155.16.02
01/03/16 New GN 10: Maintenance of a Fair, Orderly and Transparent Market ASX Notice 0201.16.03
01/02/16 Schedule 10 (Warrants) Amendments: Schedule 10; Procedures Schedule 10 ASX Notice 0083.16.01
01/02/16 Update to the list of indices and financial products for options market contracts in the ASX Operating Rules Procedures to reflect the current names of the indices: Procedures Schedule 5 no notice

 

Recent ASX 24 Operating Rules amendments

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
15/06/16 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
0665.16.06
0677.16.06

21/03/16

Amendments to provide clarity for customers re available expiries in the Australian Electricity Futures contracts and allow for additional settlement months to be traded in the New Zealand Electricity Futures contracts: Appendices 2.60.2.1-4, 2.61.2.1-2, 2.62A.1.1-2

no notice
21/03/16 Equity Sector Futures Price Tick Change; Procedure 4401; Appendices 2.47, 2.48, 2.49 ASX Notice 0223.16.03
16/03/16 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
0242.16.03
0243.16.03

01/03/16 New GN 10: Maintenance of a Fair, Orderly and Transparent Market ASX Notice 0201.16.03

 

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
07/03/16 T+2 Settlement for Cash Equities: Rule 4.20.1; Procedures 4.20.1, 12.7.2, 12.7.3, 12.17.2 & 20.4.2 ASX Notice 0155.16.02

 

Recent ASX Settlement Operating Rules amendments

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
08/06/16 "FOR" Financial Products: AirXpanders Inc.– Procedures: Schedule 1 ASX Notice 0653.16.06
18/04/16 Client trust deductible amount in respect of cash contra transactions: Rules 6.3B.4, 6.3B.4A, 6.3B.8 ASX Notice 0389.16.04
21/03/16 "FOR" Financial Products: BuildingIQ Inc. – Procedures: Schedule 1 ASX Notice 0282.16.03
07/03/16 T+2 Settlement for Cash Equities: Rules 2.13, 6.3.5, 6.3.6, 8.26.1, 10.22.1, 11.31.6, 13.10.1 & 13.10.2; Appendix 3; Procedures Appendix 1; Guidance Note 12 ASX Notice 0155.16.02
27/01/16 Correction to section numbering in Guidance Note 10 – Business Continuity and Disaster Recovery no notice
20/01/16

Updating the definition of approved market operator to reflect name change from Asia Pacific Stock Exchange Limited to Sydney Stock Exchange Limited – Procedures: Section 2.

no notice

 

Recent ASX Clear (Futures) Operating Rules amendments

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
08/02/16 Margin Optimisation Service for portfolio margining: ASX OTC Handbook amendments ASX Notice 0119.16.02

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

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