ASX Market Rules - Guidance Notes

Below you will find a list of the Guidance Notes issued by ASX in relation to the ASX Market 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
ASX Guidance Note 1 - Prevention of Manipulative Trading
ASX Guidance Note 2  - Record of Action and Announcement
ASX Guidance Note 3  - Reporting to Clients - Confirmations
ASX Guidance Note 4  - New Clients
ASX Guidance Note 5  - New Clients - Electronic Client Agreements
ASX Guidance Note 6 - Management Requirements
ASX Guidance Note 7 - Management Requirements - Good Fame & Character
ASX Guidance Note 8 - Insurance Requirements
ASX Guidance Note 9 - Expiry of Unexercised Deliverable Warrants
ASX Guidance Note 10 - Disciplinary Proceedings
ASX Guidance Note 11 - Client Order Priority
ASX Guidance Note 12 - Client Money & Property - Client Funds
ASX Guidance Note 13 - Prohibition of Advice to Clients
ASX Guidance Note 14 - Trade Errors, Error Disputes and Cancellations
ASX Guidance Note 15 - Waivers of ASX Market Rules - Participants
ASX Guidance Note 16 - Waivers of ASX Market Rules - Warrant
ASX Guidance Note 17 - Spread of Warrant Holders
ASX Guidance Note 18 - Disciplinary Tribunal Sanction Guidelines
ASX Guidance Note 19 - Automated Order Processing - Certification
ASX Guidance Note 20 - Crossings of Traded Products
ASX Guidance Note 21 - Automated Order Processing - Authorised Persons
ASX Guidance Note 22 - Automated Order Processing - Operational Requirements
ASX Guidance Note 23 - New Clients or Clients Trading
ASX Guidance Note 24 - Fees and other charges - Self Assessment
ASX Guidance Note 25 - Monitoring Compliance - Investigations
ASX Guidance Note 26 - ASX Approach to Privacy Laws
ASX Guidance Note 27 - Ongoing Compliance & Supervision
ASX Guidance Note 28 - Product Disclosure Statements
ASX Guidance Note 29 - Managed Discretionary Accounts
ASX Guidance Note 30 - Risk Management Framework
ASX Guidance Note 31 - Client Agreements - Requirements
ASX Guidance Note 32 - Bulk Authorisation of Index Arbitrage Orders
ASX Guidance Note 33 - Trading Records
ASX Guidance Note 34 - Designation of Approved Short Sale Products
ASX Guidance Note 35 - Notification of Regulatory Action 
ASX Guidance Note 36 - End-Clients Using Margined Financial Products - Risks For Participants