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Notice
Notice Content
ASX confirms amendments to Guidance Note 01– Admission as a Participant (Guidance Notes) in respect of each of the ASX Operating Rules, ASX 24 Operating Rules, ASX Clear Operating Rules, ASX Clear (Futures) Operating Rules and ASX Settlement Operating Rules (together the Rulebooks) to:
(a) provide additional information and clarity on key matters relating to a participant’s admission; and
(b) delete redundant references (including removing aspects that are no longer offered).
Participants are reminded that they have an ongoing obligation to continue to satisfy the applicable admission requirements. As noted in the guidance, ASX considers the ongoing obligation for a participant to have ‘adequate resources and processes’ effectively imposes a continuing obligation on a participant to have up-to-date documentation to comply with its primary obligations under the relevant Rulebooks.
Background
Further information on the Guidance Note amendments can be located under the relevant rule books tab available on https://www.asx.com.au/about/regulation/rules-guidance-notes-and-waivers, including a copy of the amendments below.
What do I need to do by when?
Please see marked-up changes to the Guidance Notes below.
ASX Operating Rules Guidance Note 01 – Admission as a Participant
ASX Clear Operating Rules Guidance Note 01 – Admission as a Participant
ASX Settlement Operating Rules Guidance Note 01 – Admission as a Participant
ASX 24 Operating Rules Guidance Note 01 – Admission as a Participant
ASX Clear (Futures) Operating Rules Guidance Note 01 – Admission as a Participant
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Issued by
Participants Compliance
Contact information
+61 (02) 9338 0000
www.asx.com.au/contact
Participant.Compliance@asx.com.au