ASTC Settlement Rules - prior to 31 March 2008

PLEASE NOTE: This version of the ASTC Settlement Rules is OUT OF DATE.

The following version of the ASTC Settlement Rules, from before the implementation of the new Disciplinary Processes and Appeals Rulebook, has been provided as part of the Transitional Provisions of the new rulebook.

To view the current ASTC Settlement Rules, click here.

Below you will find a list of sections which 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 current 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
Section 1 Introduction and General Rules
Section 2 Definitions and Interpretation
Section 3 Functions, Powers, Rights and Obligations of ASTC
Section 4 Participation in The Settlement Facility
Section 5 Rights and Obligations of Issuers
Section 6 Rights and Obligations of Participants
Section 7 Participant Client Arrangements
Section 8 Holding Financial Products in The Settlement Facility
Section 9 Transfers of Financial Products
Section 10 Batch Settlement
Section 11 Real Time Gross Settlement
Section 12 Supervision and Discipline
Section 13 Depository Interests in Chess
Section 14 Subpositions
Section 15 DvP Settlement of Allocations in Respect of Initial Public Offerings
Section 16 Communications with ASTC
Section 17 Transitional Arrangements
Appendix 1 - Scheduled Times
Appendix 2 - Demand Transfer Messages
Appendix 3 - Sponsorship Agreement
Appendix 4 - Participant Change Notice
Schedule 1
Schedule 2
Guidance Note 01 - Change of Holder Record Details
Guidance Note 02 - Disaster Recovery Requirements
Guidance Note 03 - Disciplinary Proceedings
Guidance Note 04 - Financial Products subject to Foreign Ownership Restrictions
Guidance Note 05 - Instructions to Access Holdings
Guidance Note 06 - Issue of Management Letters 
Guidance Note 07 - Waivers of ASTC Settlement Rules 
Guidance Note 08 - ASX's Disciplinary Tribunals 
Guidance Note 09 - Monitoring Compliance - Investigations 
Guidance Note 10 - Financial Products in a Settlement or Accumulation Account 
Guidance Note 11 - Sponsorship Agreements
Guidance Note 12 - Access to CHESS Holdings by Issuers 
Guidance Note 13 - Notification of Regulatory Action