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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

01/09/16 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
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)

 

Recent ASX Operating Rules amendments

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
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

 

Recent ASX 24 Operating Rules amendments

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
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

 

Recent ASX Clear Operating Rules amendments

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
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

 

Recent ASX Settlement Operating Rules amendments

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
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

 

Recent ASX Clear (Futures) Operating Rules amendments

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
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

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)

 

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

 

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
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