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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

24/12/15 Amendments to remove appeal rights in relation to Listings decisions: Rules 18.10 & 18.11; Guidance Notes 1, 17, 29, 30 & 33; withdrawal of Guidance Note 21 Compliance Update 01/16 (item 1)
11/12/15

Guidance Note updates:

  • GNs 4, 15 and 15A have been updated to clarify the listing fees payable by entities listed in the ASX Foreign Exempt Listing category and foreign entities listed in the ASX Listing category that are also listed on another exchange.
  • GN 16 has been updated to include information about the general trading halt email addresses in the Sydney, Melbourne and Perth home branches referred to in ASX Compliance Update no 12/15.
Compliance Update 13/15
(item 1)
02/11/15 Minor miscellaneous amendments: Rules 1.1, 1.10.1, 3.10A, 3.17, 10.12, 14.4, 14.5, 15.4.1 & 19.12; Appendices 1A, 1B, 1C & 4G no notice
30/10/15 Guidance Note 7 US Entities – Regulation S offerings on ASX.  Updated as part of the ongoing review of ASX Listing Rules Guidance Notes. Compliance Update 12/15
(item 4)
08/09/15 New Foreign Exempt Listing Rules: Chapter 1, Appendix 1C.  Updates to Guidance Notes 1, 4 & 29 Compliance Update 10/15
(item 3)
17/08/15 Minor Guidance Note corrections: Guidance Notes 4, 8, 15, 17, 30 & 34 no notice
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Listing Rules Guidance Note 25: Exercise of Discretions is also being withdrawn.  The guidance it contains is outdated and has largely been replaced by more specific guidance in the updates ASX has made to other Guidance Notes as part of their refresh.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)

 

Recent ASX Operating Rules amendments

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
30/11/15 TORESS LEPOs Rule Amendments: Rules 2250, 2251, 2252, 2253, 2254, 3806, 3807 & 3808; Schedule 4; Procedure 2240 ASX Notice 1476.15.11
20/11/15 Amendment of ASX Operating Rules Procedure 10A.3.3 Requirements for Admission ASX Notice 1429.15.11
16/10/15 Minor Guidance Note updates: Guidance Note 1 ASX Notice 1215.15.10
12/10/15 Amendment of ASX Operating Rules Procedure 10A.3.3 Requirements for Admission ASX Notice 1179.15.10
18/08/15 Alignment of FSSBSC categories with ASIC Block Trade Tiers: Procedure 4810 ASX Notice 0830.15.07
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

 

Recent ASX 24 Operating Rules amendments

15/12/15 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
1536.15.12
1562.15.12

30/11/15 ASX 3, 5 and 10 Year Deliverable Interest Rate Swap Futures: Rule 7100; Schedule 2.23; Procedures 2500, 3200, 3400 & 4820; Appendices 2.23.1-3 ASX Notice 1407.15.11
09/11/15 NZ Electricity Futures & Options Contracts - change to contract sizes: Schedule 2.61 ASX Notice 1334.15.11
16/10/15 Minor Guidance Note updates: Guidance Note 1 ASX Notice 1215.15.10
12/10/15 Eastern Australia Wheat Futures and Options: Schedules 2.77.11, 2.77.12; Procedure 3200; Appendices 2.77.11, 2.77.12 ASX Notice 1041.15.09
12/10/15 Mini SPI 200 Index Futures: Schedule 2.40.7; Procedures 2500, 3200, 4401, 4800 & 4820; Appendix 2.40.7 ASX Notice 1032.15.09
21/09/15 20 Year Treasury Bond Futures: Schedule 2.36.1; Appendix 2.36.1; Procedures 2500, 3200, 3400, 4820 ASX Notice 0964.15.08
15/09/15 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
1035.15.09
1036.15.09
09/09/15 NSW and WA Wheat Futures - removal of Protein Adjustment Factors and related notes: Appendices 2.77.1 & 2.77.3 no notice
10/08/15 Changes to WA Wheat futures Deliverable Grade: Appendix 2.77.3 ASX Notice 0922.15.08
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

 

Recent ASX Clear Operating Rules amendments

30/11/15 TORESS LEPOs Rule Amendments: Rules 2.10.1, 20.1.1C, 20.1.1D, 20.1.1E & 20.3; Procedures 10.4.1, 10.4.2 & 20.3.6 ASX Notice 1476.15.11
30/11/15 Accounting standards: Procedure 4.4.3 ASX Notice 1322.15.10
30/11/15 Client account enhancements: Rules 10.2.4, 10.3.3-4, 14.6.2, 14.6.5–6, 15.2.1 & 15.4.1; Procedures 10.2.5, 14.6.2, 14.6.5-6 & 15.4 ASX Notice 1464.15.11
16/10/15 Minor Guidance Note updates: Guidance Notes 1, 2 & 5 ASX Notice 1215.15.10
01/10/15 Introduction of Recovery Rules for ASX Clear and ASX Clear (Futures): Rules 1, 2, 3, 6, 12, 15 & 17; Procedures 1.22.6, 8.2.5, 8.2.6 & 8.3.1 ASX Notice 1137.15.10
17/08/15 Risk Consultative Committee: Rule 1.23; Procedure 1.23 ASX Notice 0573.15.05
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

 

Recent ASX Settlement Operating Rules amendments

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
04/12/15 "FOR" Financial Products: Updater Inc. – Procedures: Schedule 1 ASX Notice 1521.15.12
27/11/15 "FOR" Financial Products: Transurban Group – Procedures: Schedule 1 ASX Notice 1463.15.11
12/11/15 "FOR" Financial Products: Santos Limited – Procedures: Schedule 1 ASX Notice 1381.15.11
19/10/15 "FOR" Financial Products: Treasury Wine Estates Limited and Westpac Banking Corporation – Procedures: Schedule 1

ASX Notices 1216.15.10 1221.15.10

16/10/15 Minor Guidance Note updates: Guidance Note 1, 9 & 10 ASX Notice 1215.15.10
05/10/15 "FOR" Financial Products: Origin Energy Limited – Procedures: Schedule 1 ASX Notice 1142.15.10
17/08/15 "FOR" Financial Products: Commonwealth Bank of Australia – Procedures: Schedule 1 ASX Notice 0952.15.08
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

 

Recent ASX Clear (Futures) Operating Rules amendments

08/02/16 Margin Optimisation Service for portfolio margining: ASX OTC Handbook amendments ASX Notice 0119.16.02
30/11/15 Accounting standards: Procedure 8 ASX Notice 1322.15.10
30/11/15 ASX 3, 5 and 10 Year Deliverable Interest Rate Swap Futures: Rules 1.11, 63.6, 65; Procedure 65; OTC Rules 4.3, 4.5, 4.6 & Sched 1; OTC Handbook 2.15, Sched 1 & 2 ASX Notice 1407.15.11
16/10/15 Minor Guidance Note updates: Guidance Notes 1 & 2 ASX Notice 1215.15.10
01/10/15 Introduction of Recovery Rules for ASX Clear and ASX Clear (Futures): Rules 1, 2, 3, 7 & 9; Procedures; OTC Rulebook; OTC Handbook ASX Notice 1137.15.10
25/09/15 CFTC Order of Exemption from Registration as a Derivatives Clearing Organisation: OTC Handbook ASX Notice 1104.15.09
31/08/15 Client account enhancements ASX Notice 1004.15.08
03/08/15 Guidance Note 10 – Business Continuity and Disaster Recovery; correction to rule reference in footnote 1 (p. 2) no notice
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

Recent ASX Enforcement and Appeals Rulebook amendments

24/12/15 Amendments to remove appeal rights in relation to Listings decisions: Rules 1.12.1, 2.1.1 & 3.1.4; Procedure 3.1.4 Compliance Update 01/16
(item 1)
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

01/12/15 Insourcing of Exigo by ASX: Rules 1.1, 12.9.1, 12.10.1 & 12.10.3; Procedures 12.9.1 & 12.10.1 ASX Notice 1446.15.11
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

 

Recent ASX Recovery Rules amendments

01/10/15 Introduction of new rulebook ASX Notice 1137.15.10

 

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