Recent rule amendments

There are regular updates to the operating rules of the ASX markets and clearing and settlement facilities. The information set out below provides details about recent changes to those rules.

The Rulebooks are also available to view online:

Recent ASX Listing Rules amendments

01/07/19

Listing fees: Guidance Note 15A:

  • schedules of Annual Listing Fees and Fees for Quotation of Additional Securities have been updated, effective 1 July 2019
  • definition of “Simple Corporate Bond” in footnote 5 has been updated to refer directly to the Corporations Act rather than the amending Act.
no notice
15/04/19 Guidance Note update: GN 33 Compliance Update 04/19
(item 2)
01/01/19 Listing fees: Guidance Note 15A no notice
06/08/18 Guidance Note updates to reflect amendments to price sensitivity and cross release indication of announcements lodged on ASX Online: GNs 8, 14 & 16 Compliance Update 06/18 (item 1)
01/07/18 Listing fees: Guidance Note 15A no notice

 

Recent ASX Operating Rules amendments

01/07/19 Schedule 10 (Warrants) and 10A (AQUA Products) Rule and Procedure amendments ASX Notice 0587.19.06
03/06/19 Updated international contact number for Participant Transitions: Guidance Note 1 no notice
25/03/19 Guidance Note update re removal of Registered Holder Collateral Cover Authorisation (RHCCA) Forms: Guidance Note 2 ASX Notice 1339.18.11
31/01/19 Replacement of ASX Compliance Monitor: Guidance Notes 1 & 8  

10/01/19

Replacement of ASX Compliance Monitor: Procedures 6901 & 6902 ASX Notice 1169.18.10
12/11/18 mFund Settlement Service – CHESS 10 release: Procedure 4655; Guidance Note 15 ASX Notice
1143.18.10
06/08/18 Operating Rule Procedure update – Warrant and Structured Product Order Purge: Procedure 4070; Appendix 4013 ASX Notice 0849.18.08
23/07/18 Miscellaneous amendments ASX Notice
0776.18.07

 

Recent ASX 24 Operating Rules amendments

17/06/19 Quarterly update: Appendices 2.20.1, 2.21.1 & 2.36.1 – 3, 10 & 20 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures

ASX Notices
0537.19.05
0564.19.06

03/06/19 S&P/ASX 200 Gross Total Return (AT) Index Futures: Schedule 2.41; Appendix 2.41; Procedures 2500.1, 3200.9-10, 4060, 4800 & 4820 ASX Notice 0543.19.05
03/06/19 Updated international contact number for Participant Transitions: Guidance Note 1 no notice
25/03/19 Delisting of S&P/ASX 200 VIX Futures (VI), NZ Natural Gas Calendar Month Futures (EX) and NZ Natural Gas Calendar Quarter Futures (EY) from the ASX 24 Trading Platform: Appendices 2.46, 2.69.4.1 & 2.69.4.2 ASX Notice 0234.19.03
15/03/19 Quarterly update: Appendices 2.20.1, 2.21.1 & 2.36.1 – 3, 10 & 20 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures

ASX Notices
0143.19.02
0153.19.02

18/02/19 New Zealand Electricity Futures Contracts - Change to Block Trade Minimum Threshold ASX Notice 0040.19.01
31/01/19 Replacement of ASX Compliance Monitor: Guidance Notes 1 & 8  

10/01/19

Replacement of ASX Compliance Monitor: Procedures 6901 & 6902 ASX Notice 1169.18.10
28/12/18 Average Rate Options Over Australian and New Zealand Base Load Electricity Futures Contracts – change to the minimum number of expiries listed for trading: Appendices 2.66.1.1-4, 2.67.1.1-2 ASX Notice 1378.18.12
12/12/18 Quarterly update: Appendices 2.20.1, 2.21.1 & 2.36.1 – 3, 10 & 20 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX Notices
1377.18.12
1391.18.12
19/11/18 SPI Options – Introduction of Block Trades: Procedure 4820 ASX Notice
1185.18.10
14/09/18 Quarterly update: Appendices 2.20.1, 2.21.1 & 2.36.1 – 3, 10 & 20 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX Notices
1003.18.09
1015.18.09
13/08/18 20 Year Bond Future - new contract face value: Schedule 2.36A.1 ASX Notice 0864.18.08
23/07/18 Miscellaneous amendments ASX Notice 0776.18.07

 

Recent ASX Clear Operating Rules amendments

03/06/19 Updated international contact number for Participant Transitions: Guidance Note 1 no notice
25/03/19 Removal of Registered Holder Collateral Cover Authorisation (RHCCA) Forms: Guidance Notes 2 & 11  
01/03/19 Removal of Registered Holder Collateral Cover Authorisation (RHCCA) Forms: Rules 2.10 & 14.6; Procedure 14.6.3; Annexures 1 & 2 ASX Notice 1339.18.11
31/01/19 Replacement of ASX Compliance Monitor: Guidance Notes 1, 8 & 12  

10/01/19

Replacement of ASX Compliance Monitor: Procedures 1.7.2, 1.7.3 & 4.23.7 ASX Notice 1169.18.10
03/12/18 Minor Amendments: Rules 1.14.1 & 12.2.1 ASX Notice
1366.18.12
23/07/18 Miscellaneous amendments ASX Notice
0776.18.07

 

Recent ASX Settlement Operating Rules amendments

03/06/19 Updated international contact number for Participant Transitions: Guidance Note 1 no notice
10/05/19 "FOR" Financial Products: Life360 Inc. – Procedures: Schedule 1 ASX Notice 0435.19.05
01/03/19 Removal of Registered Holder Collateral Cover Authorisation (RHCCA) Forms: Rules 7.2, 14.1, 14.6 & 14.7; Appendix 3 ASX Notice 1339.18.11
31/01/19 Replacement of ASX Compliance Monitor: Guidance Notes 1 & 8  

10/01/19

Replacement of ASX Compliance Monitor: Procedures 1.10.1, 1.10.2 & 6.3A.4 ASX Notice 1169.18.10

04/01/19

"FOR" Financial Products: Credible Labs Inc., removal of FOR Excluded U.S. Person Prohibited tag – Procedures: Schedule 1 ASX Notice 1464.18.12
04/12/18 "FOR" Financial Products: Revasum,Inc. – Procedures: Schedule 1 ASX Notice
1369.18.12
03/12/18 Minor Amendments: Rule 1.8.1 ASX Notice
1366.18.12
12/11/18 mFund Settlement Service – CHESS 10 release: Procedures 18.3.1, 18.3.3, 18.4.1, 18.4.1, 18.4.3, Appendix 1 ASX Notice
1143.18.10
24/10/18 "FOR" Financial Products: PINCHme.com Inc. – Procedures: Schedule 1 ASX Notice 1207.18.10
23/10/18 "FOR" Financial Products: Coronado Global Resources Inc. – Procedures: Schedule 1 ASX Notice 1197.18.10
01/10/18 "FOR" Financial Products: Nufarm Limited – Procedures: Schedule 1 ASX Notice 1095.18.09
07/09/18 "FOR" Financial Products: Sydney Airport Limited, removal of FOR Excluded U.S. Person Prohibited tag – Procedures: Schedule 1 ASX Notice
0969.18.08
05/09/18 "FOR" Financial Products: Transurban Group – Procedures: Schedule 1 ASX Notice 0987.18.09
23/07/18 Miscellaneous amendments ASX Notice
0776.18.07
02/07/18 "FOR" Financial Products: Pivotal Systems Corporation – Procedures: Schedule 1 ASX Notice
0718.18.06

 

Recent ASX Clear (Futures) Operating Rules amendments

03/06/19 Updated international contact number for Participant Transitions: Guidance Note 1 no notice
31/01/19 Replacement of ASX Compliance Monitor: Guidance Notes 1 & 8  

10/01/19

Replacement of ASX Compliance Monitor: Procedure 19.1 ASX Notice 1169.18.10
30/11/18 Liquidity margin add-on: Schedule 5.2 ASX Notice 1323.18.11
24/09/18 Changes to facilitate the decommissioning of the cash functionality in the NZClear system by the Reserve Bank of New Zealand: Procedures Schedule 3; OTC Handbook 5.8 ASX Notice 1062.18.09
12/09/18 Amendment to align the OTC Singapore client qualification criteria with the OTC ‘wholesale’ client qualification criteria for other prescribed jurisdictions: OTC Handbook 2.15 (Client Sub-Accounts) no notice
23/07/18 Miscellaneous amendments ASX Notice 0776.18.07
13/07/18 Change in annual reporting requirements for non-ADI ASX Clear (Futures) Participants that are also ASX Clear Participants: Procedure 4.14(a) ASX Notice
0783.18.07

Recent ASX Enforcement and Appeals Rulebook amendments

No amendments since 1 January 2017.

 

Recent Austraclear Regulations amendments

22/11/18 Austraclear USD capability: Procedures 29.2 & 29.3 ASX Notice
1321.18.11

 

Recent ASX Recovery Rules amendments

No amendments since 1 June 2016.

 

1 August 2010: New Operating Rules for ASX and SFE

On 1 August 2010 new operating rules were introduced for the ASX and SFE markets. The SFE market was renamed the ASX 24 and this name has been used in the new Rules.

A document explaining the changes, along with copies of the new Rules and associated Procedures are available as follows:

ASX Operating Rules ASX 24 Operating Rules
ASX Operating Rules Schedules ASX 24 Schedule 1
ASX Operating Rules Procedures ASX 24 Procedures
ASX Operating Rules Procedures Appendices ASX 24 Procedures Appendices

Please note that the formatting and page numbers for these rules and procedures are not yet finalised, but the content and rule and procedure numbers will not change.

Consequential changes to other rulebooks:

ASX Enforcement and Appeals Rulebook(previously called the Australian Securities Exchange Disciplinary Processes and Appeals Rulebook)

ASX Clear Operating Rules(previously called the ACH Clearing Rules)

ASX Settlement Operating Rules(previously called the ASTC Settlement Rules)

ASX Clear (Futures) Operating Rules (previously called the Clearing Rules of SFE Clearing)

Austraclear Regulations

ASX Listing Rules