Recent Rule amendments

There are regular updates to ASX's, ACH’s and ASTC’s Rules.  This page provides details about recent changes to ASX Listing Rules, ASX Market Rules, ACH Clearing Rules and ASTC Settlement Rules.

ASX Listing Rules, ASX Market Rules, ACH Clearing Rules and ASTC Settlement Rules are also available to view online.

 

Recent ASX Listing Rule amendments

 03/07/07 Guidance Note 17 – ASX Issuers  Companies Update 05/07
 20/07/07 Chapter 19, Appendices 1a, 1b, 1c, 9a, 15a & 15b – ASX name change  Companies Update 07/07
 12/09/07 Guidance Note 04 - Foreign Entities   Companies Update 09/07
 20/12/07 Guidance Note 09a – Corporate Governance – ASX Corporate Governance
Council – Revised Corporate Governance Principles and Recommendations		  No update 
 31/03/08 Chapter 18; Guidance Note 21 – Appeals
Changes due to the introduction of the Disciplinary Processes and Appeals Rulebook.		  No update
 Marked-up changes
 05/05/08

Guidance Notes 14, 15 & 20 – removal of out of date references to “Australian Stock
Exchange” & SEATS, lodgement by fax, out of date fees and contact numbers, etc. 

  Companies Update 04/08
 01/07/08

Guidance Note 15 – increases to certain initial listing fees and fees for quotation of
additional securities

 No update
 

Recent ASX Market Rule amendments

 13/06/07  Procedures Appendices: Appendix 20.4 - Takeover Bids and Schemes

 Circular 306/07
 Attachment A
 Attachment B

 18/06/07  Procedure 7.11.5 - list of Approved Foreign Banks

 Circular 320/07
 Attachment A
 Attachment B

 25/06/07  Procedure 2.10 - update of ETO categories

 Circular 350/07
 Attachment A
 Attachment B

 20/07/07  Section 2, Schedule 9, Procedures and Appendices – ASX name change

 Circular 417/07
 Attachment A
 Attachment B
 Attachment C

 08/08/07  Procedure 8.2.1 and Appendices - DTR Applications

 Circular 466/07
 Attachment A

 05/09/07  Guidance Notes 15 & 16 – publishing waivers

 Circular 512/07
 Attachment A
 Attachment B

 11/09/07  Procedures and Appendices - Corrections to the processes re ITS functionality and
 current practices for trading on and reporting trades to ITS		  Circular 523/07
 Attachment A
 Attachment B
 01/10/07  Procedures Appendices 4.9.5-1 & 4.9.7 - Auditors' Report procedures  Circular 525/07
 Attachment A
 02/10/07  Sections 2 & 11; Procedures and Appendices - Amendments re no action relief
 granted by SEC for ASX index and equity options

 Circular 557/07
 Attachment A
 Attachment B

 02/11/07  New Guidance Note 35 – Notification of Regulatory Action  Circular 626/07
 03/12/07  Amendments to Procedure 23 re Market Makers – Derivative Market Contracts  Circular 686/07
 Attachment A
 12/12/07  Amendment to Appendix 8.5.1(A)–2: Application to be a Level 1 Accredited Derivatives Adviser  Circular 720/07
 Attachment A
 12/12/07  Amendments to Rule 24 and Appendix 24.2 relating to exchange for physical transactions

 Circular 738/07
 Attachment A
 Attachment B

 18/01/08  Guidance Note 32 – Bulk Authorisation of Index Arbitrage Orders  Circular 025/08
 Attachment A
 31/03/08  Sections 1, 2, 3, 8, 10, 12, 15, 23, 28 & 30; Guidance Notes 10, 14, 16 & 18
 Changes due to the introduction of the Disciplinary Processes and Appeals Rulebook		  Circular 146/08
 Marked-up changes
 31/03/08  Procedure 16.12.3 – Introduction of Late Trade Condition Codes

 Circular 151/08
 Attachment A

 09/05/08  Procedures 31.2.1 & 31.6.1 – amendments re the changed operational functionality of
 Exchange Traded Funds once they migrate to the Warrants market on ITS		  Circular 213/08
 Attachment A
 16/05/08  New Guidance Note 36 – End-Clients Using Margined Financial Products – Risks for
 Market, Clearing and Settlement Participants		  Circular 225/08
 10/06/08  Procedures 16.12.3 & 18.02.01 – Introduction of new ITS Condition Codes for the
 reporting of Cash Market Block Special Crossings		  Circular 273/08
 Attachment A
 09/07/08  Section 1.6.2; Procedures 1.6.2 & 1.6.3 – standardising the notice requirements across the
 ASX rule books, including giving notice via ASX Online		  Circular 347/08
 Attachment A
 Attachment B
 

Recent ACH Clearing Rule amendments

 10/07/07  Procedure 21: Grain Futures – Approval of new Bulk Handlers  Notice 016/07
 Attachment A
 Attachment B
 16/07/07

 Procedures Annexure 1 s2.2 – Withdrawing Approved Financial Products Lodged
 as Collateral

  Notice 013/07
 Attachment A
 Attachment B
 20/07/07  Section 2 and Procedures Annexure 4 – ASX name change  Notice 017/07
 Attachment A
 Attachment B
 27/07/07  Procedure 12.17.2(a):  Payment of Net Amount by ACH  Notice 018/07
 Attachment A
 31/07/07  Procedure 14.6.1, Annexures 1 & 2 – Bank Guarantees  Notice 019/07
 Attachment A
 Attachment B
 Attachment C
 05/09/07  Guidance Note 9 – publishing waivers

 Notice 024/07
 Attachment A

 01/10/07  Procedures Annexures 4.4.3-1 & 4.5.4 - Auditors' Report procedures  Notice 025/07
 Attachment A
 02/11/07  New Guidance Note 16 – Notification of Regulatory Action  Notice 027/07
 10/12/07  Amendments to Procedures and Annexures re Contributions and  Additional Cover (CAC)  Notice 028/07
 Attachment A
 Attachment B
 Attachment C
 08/02/08

 Amendments to Procedures and Annexure 1 re notification of reinstatement of Derivatives
 CCP Contracts and requirements for Bank Guarantees used as collateral

  Deriv. Notice 024/08
 Attachment A
 29/08/08  Procedures Annexures 1 & 2 – addition of Member numbers for Options and Futures;
 amendment re Austraclear Pledged Securities		  Notice 008/08
 Attachment A
 31/03/08  Sections 1, 2, 3, 6, 19, 22 & 23; Guidance Notes 02, 07 & 10
 Changes due to the introduction of the Disciplinary Processes and Appeals Rulebook		  Notice 011/08
 Marked-up changes
 16/05/08  New Guidance Note 17 – End-Clients Using Margined Financial Products – Risks for
 Market, Clearing and Settlement Participants		  Notice 015/08
 01/07/08  Procedures 12.17.1 & 12.17.2 – changes to the arrangements for payments between ACH
 and Participants		  Notice 023/08
 Attachment A
 09/07/08  Section 1.7.2; Procedures 1.7.2 & 1.7.3 – standardising the notice requirements across the
 ASX rule books, including giving notice via ASX Online		  Notice 024/08
 Attachment A
 Attachment B
 

Recent ASTC Settlement Rule amendments

 10/07/07  Procedures: Schedule 1 (FOR Products)

 Bulletin 364/07
 Attachment A
 Attachment B

 20/07/07  Section 2 and Procedures – ASX name change  Bulletin 395/07
 Attachment A
 Attachment B
 03/08/07  Procedures: Schedule 1 (FOR Products)  Bulletin 426/07
 Attachment A
 05/09/07  Guidance Note 7 – publishing waivers

 Bulletin 476/07
 Attachment A

 02/11/07  New Guidance Note 13 – Notification of Regulatory Action  Bulletin 570/07
 21/01/08  Procedures: Schedule 1 (FOR Products)  Bulletin 019/08
 Attachment A
 17/03/08  Section 13 & Procedures: CDI amendments

 Bulletin 064/08
 Attachment A

 31/03/08  Sections 1, 2, 4, 8, 10, 11, 12 & 16; Guidance Notes 03, 06 & 08
 Changes due to the introduction of the Disciplinary Processes and Appeals Rulebook		  Bulletin 076/08
 Marked-up changes
 16/05/08  New Guidance Note 14 – End-Clients Using Margined Financial Products – Risks for
 Market, Clearing and Settlement Participants		  Bulletin 127/08
 09/07/08  Section 1.10.1; Procedures 1.10.1 & 1.10.2 – standardising the notice requirements across the
 ASX rule books, including giving notice via ASX Online		  Bulletin 225/08
 Attachment A
 Attachment B