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ASX Clear (Futures) Operating Rules
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 Rules are also available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or phone 180 0772 772.
| Name | Size |
|---|---|
| OTC Rulebook | 488KB |
| OTC Handbook | 755KB |
| Guidance Note | Date of re-issue | |
1 | Admission as a Participant | 05/08/19 |
2 | Resigning a Participation | 16/10/15 |
3 | Changes in Participation | not yet issued |
4 | Waivers and In-Principle Advice | 27/02/15 |
5 | Suspension and Termination of Participants | 31/03/17 |
6 | Privacy Matters | 03/12/21 |
7 | Client Agreements | not yet issued |
8 | Notification Obligations | 15/12/23 |
9 | Offshoring and Outsourcing | 15/06/15 |
| 10 | Business Continuity and Disaster Recovery | 08/03/22 |
| Name | Size | Upload Date |
|---|---|---|
| December 16-31, 2019 Waivers | 133KB | 15/12/2019 |
| December 1-15, 2019 Waivers | 133KB | 30/11/2019 |
| November 16-30, 2019 Waivers | 133KB | 15/11/2019 |
| November 1-15, 2019 Waivers | 133KB | 31/10/2019 |
| October 16-31, 2019 Waivers | 133KB | 15/10/2019 |
| October 1-15, 2019 Waivers | 133KB | 30/09/2019 |
| September 16-30, 2019 Waivers | 133KB | 15/09/2019 |
| September 1-15, 2019 Waivers | 133KB | 31/08/2019 |
| August 16-31, 2019 Waivers | 133KB | 15/08/2019 |
| August 1-15, 2019 Waivers | 133KB | 31/07/2019 |
| July 16-31, 2019 Waivers | 133KB | 15/07/2019 |
| July 1-15, 2019 Waivers | 133KB | 30/06/2019 |
| June 16-30, 2019 Waivers | 133KB | 15/06/2019 |
| June 1-15, 2019 Waivers | 133KB | 31/05/2019 |
| May 16-31, 2019 Waivers | 134KB | 15/05/2019 |
| May 1-15, 2019 Waivers | 134KB | 30/04/2019 |
| April 16-30, 2019 Waivers | 133KB | 15/04/2019 |
| April 1-15, 2019 Waivers | 133KB | 31/03/2019 |
| March 16-31, 2019 Waivers | 133KB | 15/03/2019 |
| March 1-15, 2019 Waivers | 133KB | 28/02/2019 |
| February 16-28, 2019 Waivers | 134KB | 15/02/2019 |
| February 1-15, 2019 Waivers | 133KB | 31/01/2019 |
| January 16-31, 2019 Waivers | 133KB | 15/01/2019 |
| January 1-15, 2019 Waivers | 133KB | 31/12/2018 |
| December 16-31, 2018 Waivers | 134KB | 15/12/2018 |
| December 1-15, 2018 Waivers | 134KB | 30/11/2018 |
| November 16-30, 2018 Waivers | 195KB | 15/11/2018 |
| November 1-15, 2018 Waivers | 133KB | 31/10/2018 |
| October 16-31, 2018 Waivers | 134KB | 15/10/2018 |
| October 1-15, 2018 Waivers | 134KB | 30/09/2018 |
| September 16-30, 2018 Waivers | 133KB | 15/09/2018 |
| September 1-15, 2018 Waivers | 133KB | 31/08/2018 |
| August 16-31, 2018 Waivers | 133KB | 15/08/2018 |
| August 1-15, 2018 Waivers | 133KB | 31/07/2018 |
| July 16-31, 2018 Waivers | 134KB | 15/07/2018 |
| July 1-15, 2018 Waivers | 134KB | 30/06/2018 |
| June 16-30, 2018 Waivers | 133KB | 15/06/2018 |
| June 1-15, 2018 Waivers | 133KB | 31/05/2018 |
| May 16-31, 2018 Waivers | 134KB | 15/05/2018 |
| May 1-15, 2018 Waivers | 134KB | 30/04/2018 |
| April 16-30, 2018 Waivers | 133KB | 15/04/2018 |
| April 1-15, 2018 Waivers | 133KB | 31/03/2018 |
| March 16-31, 2018 Waivers | 134KB | 15/03/2018 |
| March 1-15, 2018 Waivers | 134KB | 28/02/2018 |
| February 16-28, 2018 Waivers | 169KB | 15/02/2018 |
| February 1-15, 2018 Waivers | 134KB | 31/01/2018 |
| January 16-31, 2018 Waivers | 134KB | 15/01/2018 |
| January 1-15, 2018 Waivers | 134KB | 31/12/2017 |
| December 16-31, 2017 waivers | 133KB | 15/12/2017 |
| December 1-15, 2017 waivers | 133KB | 30/11/2017 |
| November 16-30, 2017 waivers | 133KB | 15/11/2017 |
| November 1-15, 2017 waivers | 133KB | 31/10/2017 |
| October 16-31, 2017 waivers | 133KB | 15/10/2017 |
| October 1-15, 2017 waivers | 133KB | 30/09/2017 |
| September 16-30, 2017 waivers | 133KB | 15/09/2017 |
| September 1-15, 2017 waivers | 133KB | 31/08/2017 |
| August 16-31, 2017 waivers | 133KB | 15/08/2017 |
| August 1-15, 2017 waivers | 133KB | 31/07/2017 |
| July 16-31, 2017 waivers | 133KB | 15/07/2017 |
| July 1-15, 2017 waivers | 133KB | 30/06/2017 |
| June 16-30, 2017 waivers | 133KB | 15/06/2017 |
| June 1-15, 2017 waivers | 133KB | 31/05/2017 |
| May 16-31, 2017 waivers | 134KB | 15/05/2017 |
| May 1-15, 2017 waivers | 134KB | 30/04/2017 |
| April 16-30, 2017 waivers | 133KB | 15/04/2017 |
| April 1-15, 2017 waivers | 133KB | 31/03/2017 |
| March 16-31, 2017 waivers | 133KB | 15/03/2017 |
| March 1-15, 2017 waivers | 133KB | 28/02/2017 |
| February 16-28, 2017 waivers | 134KB | 15/02/2017 |
| February 1-15, 2017 waivers | 133KB | 31/01/2017 |
| January 16-31, 2017 waivers | 133KB | 15/01/2017 |
| January 1-15, 2017 waivers | 133KB | 31/12/2016 |
| December 16-31, 2016 Waivers | 133KB | 15/12/2016 |
| December 1-15, 2016 Waivers | 133KB | 30/11/2016 |
| November 16-30, 2016 Waivers | 133KB | 15/11/2016 |
| November 1-15, 2016 Waivers | 133KB | 31/10/2016 |
| October 16-31, 2016 Waivers | 133KB | 15/10/2016 |
| October 1-15, 2016 Waivers | 133KB | 30/09/2016 |
| September 16-30, 2016 Waivers | 133KB | 15/09/2016 |
| September 1-15, 2016 Waivers | 133KB | 31/08/2016 |
| August 16-31, 2016 Waivers | 133KB | 15/08/2016 |
| August 1-15, 2016 Waivers | 133KB | 31/07/2016 |
| July 16-31, 2016 Waivers | 133KB | 15/07/2016 |
| July 1-15, 2016 Waivers | 134KB | 30/06/2016 |
| June 16-30, 2016 Waivers | 133KB | 15/06/2016 |
| June 1-15, 2016 Waivers | 133KB | 31/05/2016 |
| May 16-31, 2016 Waivers | 134KB | 15/05/2016 |
| May 1-15, 2016 Waivers | 134KB | 30/04/2016 |
| April 16-30, 2016 Waivers | 133KB | 15/04/2016 |
| April 1-15, 2016 Waivers | 131KB | 31/03/2016 |
| March 16-31, 2016 Waivers | 192KB | 15/03/2016 |
| March 1-15, 2016 Waivers | 131KB | 29/02/2016 |
| February 16-29, 2016 Waivers | 129KB | 15/02/2016 |
| February 1-15, 2016 Waivers | 129KB | 31/01/2016 |
| January 16-31, 2016 Waivers | 542KB | 15/01/2016 |
| January 1-15, 2016 Waivers | 129KB | 31/12/2015 |
| December 16-31, 2015 Waivers | 129KB | 15/12/2015 |
| December 1-15, 2015 Waivers | 129KB | 30/11/2015 |
| November 16-30, 2015 Waivers | 129KB | 15/11/2015 |
| November 1-15, 2015 Waivers | 128KB | 31/10/2015 |
| October 16-31, 2015 Waivers | 129KB | 15/10/2015 |
| October 1-15, 2015 Waivers | 129KB | 30/09/2015 |
| September 16-30, 2015 Waivers | 129KB | 15/09/2015 |
| September 1-15, 2015 Waivers | 128KB | 31/08/2015 |
| August 16-31, 2015 Waivers | 129KB | 15/08/2015 |
| August 1-15, 2015 Waivers | 129KB | 31/07/2015 |
| July 16-31, 2015 Waivers | 129KB | 15/07/2015 |
| July 1-15, 2015 Waivers | 129KB | 30/06/2015 |
| June 16-30, 2015 Waivers | 129KB | 15/06/2015 |
| June 1-15, 2015 Waivers | 128KB | 31/05/2015 |
| May 16-31, 2015 Waivers | 129KB | 15/05/2015 |
| May 1-15, 2015 Waivers | 129KB | 30/04/2015 |
| April 16-30, 2015 Waivers | 190KB | 15/04/2015 |
| April 1-15, 2015 Waivers | 128KB | 31/03/2015 |
| March 16-31, 2015 Waivers | 129KB | 15/03/2015 |
| March 1-15, 2015 Waivers | 129KB | 28/02/2015 |
| February 16-28, 2015 Waivers | 129KB | 15/02/2015 |
| February 1-15, 2015 Waivers | 129KB | 31/01/2015 |
| January 16-31, 2015 Waivers | 129KB | 15/01/2015 |
| January 1-15, 2015 Waivers | 129KB | 31/12/2014 |
| December 16-31, 2014 Waivers | 129KB | 15/12/2014 |
| December 1-15, 2014 Waivers | 129KB | 30/11/2014 |
| November 16-30, 2014 Waivers | 129KB | 15/11/2014 |
| November 1-15, 2014 Waivers | 129KB | 31/10/2014 |
| October 16-31, 2014 Waivers | 129KB | 15/10/2014 |
| October 1-15, 2014 Waivers | 129KB | 30/09/2014 |
| September 16-30, 2014 Waivers | 129KB | 15/09/2014 |
| September 1-15, 2014 Waivers | 129KB | 31/08/2014 |
| August 16-31, 2014 Waivers | 129KB | 15/08/2014 |
| August 1-15, 2014 Waivers | 129KB | 31/07/2014 |
| July 16-31, 2014 Waivers | 129KB | 15/07/2014 |
| July 1-15, 2014 Waivers | 129KB | 30/06/2014 |
| June 16-30, 2014 Waivers | 129KB | 15/06/2014 |
| June 1 - 15, 2014 Waivers | 129KB | 31/05/2014 |
| May 16-31, 2014 Waivers | 129KB | 15/05/2014 |
| May 1-15, 2014 Waivers | 129KB | 30/04/2014 |
| April 16-30, 2014 Waivers | 129KB | 15/04/2014 |
| April 1-15, 2014 Waivers | 132KB | 31/03/2014 |
| March 16-31, 2014 Waivers | 132KB | 15/03/2014 |
| March 1-15, 2014 Waivers | 132KB | 28/02/2014 |
| February 16-28, 2014 Waivers | 132KB | 15/02/2014 |
| February 1-15, 2014 Waivers | 132KB | 31/01/2014 |
| January 16-31, 2014 Waivers | 132KB | 15/01/2014 |
| January 1-15, 2014 Waivers | 132KB | 31/12/2013 |
| December 16-31, 2013 Waivers | 132KB | 15/12/2013 |
| December 1-15, 2013 Waivers | 132KB | 30/11/2013 |
| November 16-30, 2013 Waivers | 132KB | 15/11/2013 |
| November 1-15, 2013 Waivers | 132KB | 31/10/2013 |
| October 16-31, 2013 Waivers | 252KB | 15/10/2013 |
| October 1-15, 2013 Waivers | 128KB | 30/09/2013 |
| September 16-30, 2013 Waivers | 546KB | 15/09/2013 |
| September 1-15, 2013 Waivers | 132KB | 31/08/2013 |
| August 16-31, 2013 Waivers | 131KB | 15/08/2013 |
| August 1-15, 2013 Waivers | 132KB | 31/07/2013 |
| July 16-31, 2013 Waivers | 132KB | 15/07/2013 |
| July 1-15, 2013 Waivers | 132KB | 30/06/2013 |
| June 16-30, 2013 Waivers | 132KB | 15/06/2013 |
| June 1-15, 2013 Waivers | 132KB | 31/05/2013 |
| May 16-31, 2013 Waivers | 132KB | 15/05/2013 |
| May 1-15, 2013 Waivers | 132KB | 30/04/2013 |
| April 16-30, 2013 Waivers | 132KB | 15/04/2013 |
| April 1-15, 2013 Waivers | 132KB | 31/03/2013 |
| March 16-31, 2013 Waivers | 132KB | 15/03/2013 |
| March 1-15, 2013 Waivers | 132KB | 28/02/2013 |
| February 16-28, 2013 Waivers | 132KB | 15/02/2013 |
| February 1-15, 2013 Waivers | 132KB | 31/01/2013 |
| January 16-31, 2013 Waivers | 132KB | 15/01/2013 |
| January 1-15, 2013 Waivers | 132KB | 31/12/2012 |
| December 16-31, 2012 Waivers | 132KB | 15/12/2012 |
| December 1-15, 2012 Waivers | 132KB | 30/11/2012 |
| November 16-30, 2012 Waivers | 132KB | 15/11/2012 |
| November 1-15, 2012 Waivers | 132KB | 31/10/2012 |
| October 16-31, 2012 Waivers | 132KB | 15/10/2012 |
| October 1-15, 2012 Waivers | 132KB | 30/09/2012 |
| September 16-30, 2012 Waivers | 132KB | 15/09/2012 |
| September 1-15, 2012 Waivers | 132KB | 31/08/2012 |
| August 16-31, 2012 Waivers | 132KB | 15/08/2012 |
| August 1-15, 2012 Waivers | 131KB | 31/07/2012 |
| July 16-31, 2012 Waivers | 132KB | 15/07/2012 |
| July 1-15, 2012 Waivers | 132KB | 30/06/2012 |
| June 16-30, 2012 Waivers | 131KB | 15/06/2012 |
| June 1-15, 2012 Waivers | 131KB | 31/05/2012 |
| May 16-31, 2012 Waivers | 193KB | 15/05/2012 |
| May 1-15, 2012 Waivers | 132KB | 30/04/2012 |
| April 16-30, 2012 Waivers | 132KB | 15/04/2012 |
| April 1-15, 2012 Waivers | 132KB | 31/03/2012 |
| March 16-31, 2012 Waivers | 132KB | 15/03/2012 |
| March 1-15, 2012 Waivers | 132KB | 29/02/2012 |
| February 16-29, 2012 Waivers | 132KB | 15/02/2012 |
| February 1-15, 2012 Waivers | 132KB | 31/01/2012 |
| January 16-31, 2012 Waivers | 132KB | 15/01/2012 |
| January 1-15, 2012 Waivers | 132KB | 31/12/2011 |
| December 16-31, 2011 Waivers | 196KB | 15/12/2011 |
| December 1-15, 2011 Waivers | 132KB | 30/11/2011 |
| November 16-30, 2011 Waivers | 192KB | 15/11/2011 |
| November 1-15, 2011 Waivers | 132KB | 31/10/2011 |
| October 16-31, 2011 Waivers | 194KB | 15/10/2011 |
| October 1-15, 2011 Waivers | 132KB | 30/09/2011 |
| September 16-30, 2011 Waivers | 195KB | 15/09/2011 |
| September 1-15, 2011 Waivers | 132KB | 31/08/2011 |
| August 16-31, 2011 Waivers | 256KB | 15/08/2011 |
| August 1-15, 2011 Waivers | 132KB | 31/07/2011 |
| July 16-31, 2011 Waivers | 195KB | 15/07/2011 |
| July 1-15, 2011 Waivers | 132KB | 30/06/2011 |
| June 16-30, 2011 Waivers | 254KB | 15/06/2011 |
| June 1-15, 2011 Waivers | 132KB | 31/05/2011 |
| May 16-31, 2011 Waivers | 133KB | 15/05/2011 |
| May 1-15, 2011 Waivers | 196KB | 30/04/2011 |
| April 16-30, 2011 Waivers | 554KB | 15/04/2011 |
| April 1-15, 2011 Waivers | 132KB | 31/03/2011 |
| March 16-31, 2011 Waivers | 195KB | 15/03/2011 |