ASTC Settlement Rules - Guidance Notes

Below you will find a list of the Guidance Notes issued by ASX in relation to the ASTC Settlement Rules.  They are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

The sections are available to view only and cannot be printed.

The Rules are available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or via phone on 1800 772 772.

Description
ASTC Guidance Note 01 - Change of Holder Record Details
ASTC Guidance Note 02 - Disaster Recovery Requirements
ASTC Guidance Note 03 - Disciplinary Proceedings
ASTC Guidance Note 04 - Financial Products subject to Foreign Ownership Restrictions
ASTC Guidance Note 05 - Instructions to Access Holdings
ASTC Guidance Note 06 - Issue of Management Letters
ASTC Guidance Note 07 - Waivers of ASTC Settlement Rules
ASTC Guidance Note 08 - ASX's Disciplinary Tribunals
ASTC Guidance Note 09 - Monitoring Compliance - Investigations
ASTC Guidance Note 10 - Financial Products in a Settlement or Accumulation Account
ASTC Guidance Note 11 - Sponsorship Agreements
ASTC Guidance Note 12 - Access to CHESS Holdings by Issuers
ASTC Guidance Note 13 - Notification of Regulatory Action 
ASTC Guidance Note 14 - End-Clients Using Margined Financial Products - Risks For Participants