Compliance Update 06/17 July
ASX
Compliance Updates

Listed@ASX
Compliance Update 18 July 2017
Update no 06/17 
1. Periodic report due date reminder
Listed entities are reminded of the next due dates for entities with 30 June and 31 December balance dates:
  • Quarterly reports for mining and commitments test entities: Monday 31 July 2017
  • Preliminary final reports, 30 June balance date: Thursday 31 August 2017
  • Statutory half year financial reports (except mining exploration entities), 31 December balance date: Thursday 31 August 2017
  • Statutory half year financial reports for mining exploration entities, 31 December balance date: Wednesday 13 September 2017
  • Statutory audited annual accounts, 30 June balance date: Friday 29 September 2017
  • Annual reports, 30 June balance date: Tuesday 31 October 2017
  • Next quarterly reports for mining and commitments test entities: Tuesday 31 October 2017
Listed entities are also reminded that a failure to lodge the relevant documents on time will result in an automatic suspension of the entity's securities (refer to Listing Rule 17.5).

2. Updates to ASX Listing Rules Guidance Notes 15, 15A, 27 and ASX Settlement Operating Rules Guidance Note 13
On 3 July 2017, ASX published updates to ASX Listing Rules Guidance Notes 15 ASX Listing Fees, 15A ASX Schedule of Listing Fees , 27 Trading Policies, and ASX Settlement Operating Rules Guidance Note 13 Financial Products Subject to Foreign Ownership Restrictions.
Section 2.1 of Guidance Note 15 has been updated to provide guidance on how ASX calculates the initial listing fee for entities undertaking a demerger, spin-off or compliance listing where there is no accompanying capital raising. Guidance Note 15A has been updated to incorporate the revised schedule of ASX listing fees (effective from 1 July 2017), and a number of minor drafting amendments have been made to Guidance Note 27.
ASX Settlement Operating Rules Guidance Note 13 has been updated to provide 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. Details of the process can be found in section 3.1 of the Guidance Note.

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