ASX Operating Rules

 


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Welcome to our access page to the ASX Market Rules. This is divided into the following sections:

Clicking on a link below will take you directly to the ComLaw/ASX on-line copy of that item. We check these links regularly to ensure that they are up to date. If you find one that is out of date, please contact us and let us know.


Market Integrity Rules

ASIC Market Integrity Rules (ASX Market) 2010

ASIC Market Integrity Rules (Competition in Exchange Markets) 2011

Click here to access a comparison of the ASIC Market Integrity Rules and the former ASX Market Rules.


ASX Operating Rules

01   Access to the Market
02   Products
03   Trading Rules
04   Execution, Quote Display and Reporting Services
05   Monitoring Conduct and Enforcing Compliance
06   General Rules
07   Definitions and Interpretation
08   Transitional Provisions
>   ASX Operating Rules Schedules

Click here to download the ASX Operating Rules Procedures and the Appendices thereto.

Click here to access the ASX Market Rules Guidance Notes.


ASX Clear Operating Rules

1   Introduction and General Rules
2   Definitions and Interpretation
3   Participation in the Clearing Facility
4   Rights and Obligations of Participants
5   Risk Management Capital Requirements
6   Communications with ASX Clear
7   Client Requirements
8   Clearing Fund Contributions, Emergency Assessments and Priority of Application of Clearing Assets
9   Third Party Clearing and Settlement Arrangements
10   Accounts
11   Derivatives Market Contracts - Allocation, Price Averaging and Destination
12   Registration, Novation, Netting and Settlement
13   Derivatives CCP Contracts - Transfers Close Outs and Adjustments
14   Risk Management
15   Default
16   State of Emergency, Undesirable Practices and Impossibility of Performance
17   ASX Clear Termination of Derivatives CCP Contracts
18   Disputes and Complaints
19   Compliance, Enforcement Actions and Appeals
20   Settlement of Derivatives CCP Contracts
21   Settlement of Deliverable Futures CCP Contract over Underlying Commodities
22   Transitional Arrangement for Existing ASX Participating Organisations (Cash Market Transactions)
23   Transitional Arrangements for Existing ASX Participating Organisations (Derivatives)

Schedules

1   Risk Based Capital Requirements and Annexures
2   NTA Requirements
3   Clearing Agreements - Minimum Terms
4   Settlement Services Agreement (Cash Market Transactions) - Minimum Terms
5   Derivatives Client Agreement - Minimum Terms
6   Derivatives Client Agreement - Minimum Terms Change Notification

Click here to download the ASX Clear Operating Rules Procedures and Annexure 1, Annexure 2, Annexure 3, Annexure 4, Annexure 5, Annexure 6, Annexure 7, Annexure 8 and Annexure 12 thereto (Annexures 9, 10 and 11 have been deleted).

Click here to access the ASX Clear Operating Rules Guidance Notes.


ASX Settlement Operating Rules

1   Introduction and General Rules
2   Definitions and Interpretation
3   Functions, Powers, Rights and Obligations of ASTC
4   Participation in the Settlement Facility
5   Rights and Obligations of Issuers
6   Rights and Obligations of Participants
7   Participant Client Arrangements
8   Holding Financial Products in the Settlement Facility
9   Transfers of Financial Products
10   Batch Settlement
11   Real Time Gross Settlement
12   Compliance, Enforcement Actions and Appeals
13   Depository Interests in CHESS
14   Subpositions
15   DvP Settlement of Allocations in Respect of Initial Public Offerings
16   Communications with ASTC
17   Transitional Arrangements
18   Settlement of AQUA Products
Appendices
1   Scheduled Times
2   Demand Transfer Messages
3   Sponsorship Agreement
4   Participant Change Notice

Schedules

1   FOR Financial Products
2   Excluded Classes of Financial Products

Click here to download the ASX Settlement Operating Rules Procedures.

Click here to access the ASX Settlement Operating Rules Guidance Notes.


Enforcement and Appeals Rulebook

 01   Scope of Rulebook
02   Enforcement Action
03   Appeals
04   ASX Announcement and Imposition of Penalty
Guidance Notes
1   Enforcement Action and Appeals from Enforcement Decisions

Click here to download the Enforcement and Appeals Rules Procedures and Annexure A.

  


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