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

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
29/06/18 Guidance Note update: GN 1 (section 3.20) & GN 4 (section 3.2) Compliance Update 06/18 (item 2)
11/05/18

Guidance Note update:

Guidance Note 8:  clarification of ASX’s policy around market announcements that attach copies of or contain references to a broker or analyst research report.

Guidance Note 14:  minor consequential changes reflecting the changes to GN 8.

Compliance Update 04/18 (item 2)
09/03/18 Guidance Note update: GNs 1, 8, 12 & 16 Compliance Update 02/18 (item 1)
01/01/18 Listing fees: Guidance Note 15A no notice

 

Recent ASX Operating Rules amendments

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

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
20/06/18 Updated Block Trade Procedures: Procedures 4022(b) & 4820 ASX Notice
0674.18.06
15/06/18 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
0597.18.06
0611.18.06
01/06/18 Deliverable Futures Contracts: Rules 2300, 2301 & Section 7; Procedure 2300 ASX Notice
0508.18.05
22/03/18 Updated Block Trade Procedures for User Defined Strategy Orders in Australian Electricity Futures and Options: Procedures 4022(b) & 4820 ASX Notice
0300.18.03
15/03/18 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
0238.18.03 0245.18.03
19/01/18 Delisting of Australian Electricity Base Load Calendar $300 Caps Q3 & Q4 2021 futures contracts: Appendices 2.63.1.1, 2.63.1.2, 2.63.1.3 & 2.63.1.4 ASX Notice
0050.18.01
17/01/18 Attestation for trading on behalf of New Zealand Customers: Guidance Note 8 ASX Notice
0047.18.01

 

Recent ASX Clear Operating Rules amendments

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
01/01/18 Definition of "Financial Asset and Liability Revaluation Reserves": Schedule 1.1.1 ASX Notice 1565.17.12
01/01/18 Amendments to provide ASX Clear with the power to require a Clearing Participant that is a Market Participant to act as a default broker and participate in any fire drills held by ASX Clear from time to time: Rules 4.1 & 4.26; Procedure 4.26 no notice

 

Recent ASX Settlement Operating Rules amendments

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
29/06/18 Definition of Approved Market Operator in ASX Settlement Operating Rules Procedures: Procedure 2 ASX Notice
0707.18.06
15/05/18 "FOR" Financial Products: removal of AirXpanders, Inc. – Procedures: Schedule 1 ASX Notice 0496.18.05
26/02/18 "FOR" Financial Products: APA Group – Procedures: Schedule 1 ASX Notice 0176.18.02
19/02/18 "FOR" Financial Products: Woodside Petroleum Limited – Procedures: Schedule 1 ASX Notice 0150.18.02
19/01/18 "FOR" Financial Products: Orocobre Limited – Procedures: Schedule 1 ASX Notice 0048.18.01

 

Recent ASX Clear (Futures) Operating Rules amendments

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
18/06/18 Client Clearing API extended to OTC Affiliates: OTC Handbook 2.15 & 4.3 ASX Notice
0635.18.06
06/04/18 Waiver of Operating Rule 8.4 and OTC Rule 3.3(b)(ii): Guidance Note 8 ASX Notice
0108.18.02
26/02/18 Amendments to the OTC eligibility criteria to extend the maximum maturity of NZ BKBM IRS from two years to 15 years: OTC Handbook Schedule 1 no notice

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