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ASX Settlement 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
Section 1 Introduction and General Rules
151KB
Section 2 Definitions and Interpretation
348KB
Section 3 Functions, Powers, Rights and Obligations of ASX Settlement
150KB
Section 4 Participation in the Settlement Facility
240KB
Section 5 Rights and Obligations of Issuers
191KB
Section 6 Rights and Obligations of Participants
262KB
Section 7 Participant Client Arrangements
197KB
Section 8 Holding Financial Products in the Settlement Facility
533KB
Section 9 Transfers of Financial Products
191KB
Section 10 Batch Settlement
377KB
Section 11 Real Time Gross Settlement
476KB
Section 12 Compliance, Enforcement Actions and Appeals
282KB
Section 13 Depositary Interests in CHESS
659KB
Section 14 Subpositions
519KB
Section 15 DVP Settlement of Allocations in respect of Initial Public Offerings
445KB
Section 16 Communications with ASX Settlement
187KB
Section 17 Transitional Arrangements
84KB
Section 18 Settlement of AQUA Products
192KB
Appendix 1 - Scheduled Times
287KB
Appendix 2 - Demand Transfer Messages
38KB
Appendix 3 - Pro-Forma Participant Sponsorship Agreement
155KB
Appendix 4 - Participant Change Notice
73KB
Schedule 1
29KB
Schedule 2
35KB
ASX Settlement Operating Rules Procedures
410KB
Name Size
1. Admission as a Participant
306KB
2. Resigning a Participation
182KB
4. Waivers and In-Principle Advice
214KB
5. Suspension and Termination of Participants
204KB
6. Privacy Matters
176KB
8. Notification Obligations
199KB
9. Offshoring and Outsourcing
257KB
10. Business Continuity and Disaster Recovery
236KB
11. Accessing Holdings in Error
149KB
12. Using a Settlement or Accumulation Account for Custodial Purposes
192KB
13. Financial Products Subject to Foreign Ownership Restrictions
198KB
14. Specialist Settlement Participants
229KB
Name Size Upload Date

ASX Settlement Operating Rule Waivers: 1-15 January 2026 (No Waivers Granted for this period)


 44KB 21/01/2026