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	432KB
Section 2 Definitions and Interpretation	658KB
Section 3 Functions, Powers, Rights and Obligations of ASX Settlement	150KB
Section 4 Participation in The Settlement Facility	514KB
Section 5 Rights and Obligations of Issuers	191KB
Section 6 Rights and Obligations of Participants	202KB
Section 7 Participant Client Arrangements	126KB
Section 8 Holding Financial Products in the Settlement Facility	533KB
Section 9 Transfers of Financial Products	463KB
Section 10 Batch Settlement	310KB
Section 11 Real Time Gross Settlement	476KB
Section 12 Compliance, Enforcement Actions and Appeals	534KB
Section 13 Depository Interests in Chess	656KB
Section 14 Subpositions	518KB
Section 15 DvP Settlement of Allocations in Respect of Initial Public Offerings	442KB
Section 16 Communications with ASX Settlement	187KB
Section 17 Transitional Arrangements	84KB
Section 18 Settlement of AQUA Products	162KB
Appendix 1 - Scheduled Times	280KB
Appendix 2 - Demand Transfer Messages	38KB
Appendix 3 - Sponsorship Agreement	82KB
Appendix 4 - Participant Change Notice	73KB
Schedule 1	29KB
Schedule 2	35KB
ASX Settlement Rule Procedures	701KB

Name	Size
1. Admission as a Participant	320KB
2. Resigning a Participation	272KB
4. Waivers and In-Principle Advice	90KB
5. Suspension and Termination of Participants	100KB
6. Privacy Matters	252KB
8. Notification Obligations	89KB
9. Offshoring and Outsourcing	133KB
10. Business Continuity and Disaster Recovery	395KB
11. Accessing Holdings in Error	62KB
12. Using a Settlement or Accumulation Account for Custodial Purposes	88KB
13. Financial Products Subject to Foreign Ownership Restrictions	90KB
14. ASX settlement guidance note 14 specialist settlement participants	432KB

Name	Size	Upload Date
January 16-31, 2021 Waiver	85KB	23/02/2021
January 1-15, 2021 Waiver	85KB	08/02/2021
December 16-31, 2020 Waiver	104KB	28/01/2021
December 1-15, 2020 Waiver	85KB	14/01/2021
November 16-30, 2020 Waiver	96KB	07/01/2021
November 1-15, 2020 Waivers	85KB	07/12/2020
October 16-31, 2020 Waiver	99KB	24/11/2020
October 1-15, 2020 Waiver	85KB	05/11/2020
September 16-30, 2020 Waiver	84KB	22/10/2020
September 1-15, 2020 Waivers	96KB	12/10/2020
August 16-31, 2020 Waivers	85KB	24/09/2020
July 16-31, 2020 Waivers	101KB	11/09/2020
August 1-15, 2020 Waivers	85KB	08/09/2020
July 1-15, 2020 Waivers	85KB	04/08/2020
June 16-30, 2020 Waivers	96KB	20/07/2020
June 1-15, 2020 Waivers	84KB	06/07/2020
May 16-31, 2020 Waivers	85KB	24/06/2020
May 1-15, 2020 Waivers	85KB	01/06/2020
April 16-30, 2020 Waivers	85KB	21/05/2020
April 1-15, 2020 Waivers	96KB	05/05/2020
March 16-31, 2020 Waivers	111KB	21/04/2020
March 1-15, 2020 Waivers	85KB	01/03/2020
February 16-29, 2020 Waivers	103KB	16/02/2020
February 1-15, 2020 Waivers	85KB	01/02/2020
January 16-31, 2020 Waivers	133KB	16/01/2020
January 1-15, 2020 Waivers	133KB	01/01/2020
December 16-31, 2019 Waivers	438KB	16/12/2019
December 1-15, 2019 Waivers	133KB	01/12/2019
November 16-30, 2019 Waivers	133KB	16/11/2019
November 1-15, 2019 Waivers	133KB	01/11/2019
October 16-31, 2019 Waivers	195KB	16/10/2019
October 1-15, 2019 Waivers	133KB	01/10/2019
September 16-30, 2019 Waivers	133KB	16/09/2019
September 1-15, 2019 Waivers	133KB	01/09/2019
August 16-31, 2019 Waivers	255KB	16/08/2019
August 1-15, 2019 Waivers	255KB	01/08/2019
July 16-31, 2019 Waivers	256KB	16/07/2019
July 1-15, 2019 Waivers	133KB	01/07/2019
June 16-30, 2019 Waivers	256KB	16/06/2019
June 1-15, 2019 Waivers	133KB	01/06/2019
May 16-31, 2019 Waivers	134KB	16/05/2019
May 1-15, 2019 Waivers	134KB	01/05/2019
April 16-30, 2019 Waivers	133KB	16/04/2019
April 1-15, 2019 Waivers	198KB	01/04/2019
March 16-31, 2019 Waivers	255KB	16/03/2019
March 1-15, 2019 Waivers	256KB	01/03/2019
February 16-28, 2019 Waivers	374KB	16/02/2019
February 1-15, 2019 Waivers	133KB	01/02/2019
January 16-31, 2019 Waivers	133KB	16/01/2019
January 1-15, 2019 Waivers	133KB	01/01/2019
December 16-31, 2018 Waivers	133KB	16/12/2018
December 1-15, 2018 Waivers	134KB	01/12/2018
November 16-30, 2018 Waivers	613KB	16/11/2018
November 1-15, 2018 Waivers	133KB	01/11/2018
October 16-31, 2018 Waivers	133KB	16/10/2018
October 1-15, 2018 Waivers	134KB	01/10/2018
September 16-30, 2018 Waivers	133KB	16/09/2018
September 1-15, 2018 Waivers	133KB	01/09/2018
August 16-31, 2018 Waivers	256KB	16/08/2018
August 1-15, 2018 Waivers	133KB	01/08/2018
July 16-31, 2018 Waivers	256KB	16/07/2018
July 1-15, 2018 Waivers	134KB	01/07/2018
June 16-30, 2018 Waivers	133KB	16/06/2018
June 1-15, 2018 Waivers	133KB	01/06/2018
May 16-31, 2018 Waivers	263KB	16/05/2018
May 1-15, 2018 Waivers	134KB	01/05/2018
April 16-30, 2018 Waivers	133KB	16/04/2018
April 1-15, 2018 Waivers	133KB	01/04/2018
March 16-31, 2018 Waivers	376KB	16/03/2018
March 1-15, 2018 Waivers	134KB	01/03/2018
February 16-28, 2018 Waivers	622KB	16/02/2018
February 1-15, 2018 Waivers	134KB	01/02/2018
January 16-31, 2018 Waivers	134KB	16/01/2018
January 1-15, 2018 Waivers	134KB	01/01/2018
December 16-31, 2017 Waivers	133KB	16/12/2017
December 1-15, 2017 Waivers	255KB	01/12/2017
November 16-30, 2017 Waivers	375KB	16/11/2017
November 1-15, 2017 Waivers	133KB	01/11/2017
October 16-31, 2017 Waivers	614KB	16/10/2017
October 1-15, 2017 Waivers	133KB	01/10/2017
September 16-30, 2017 Waivers	195KB	16/09/2017
September 1-15, 2017 Waivers	255KB	01/09/2017
August 16-31, 2017 Waivers	194KB	16/08/2017
August 1-15, 2017 Waivers	133KB	01/08/2017
July 16-31, 2017 Waivers	133KB	16/07/2017
July 1-15, 2017 Waivers	133KB	01/07/2017
June 16-30, 2017 Waivers	133KB	16/06/2017
June 1-15, 2017 Waivers	133KB	01/06/2017
May 16-31, 2017 Waivers	256KB	16/05/2017
May 1-15, 2017 Waivers	134KB	01/05/2017
April 16-30, 2017 Waivers	133KB	16/04/2017
April 1-15, 2017 Waivers	133KB	01/04/2017
March 16-31, 2017 Waivers	377KB	16/03/2017
March 1-15, 2017 Waivers	256KB	01/03/2017
February 16-28, 2017 Waivers	386KB	16/02/2017
February 1-15, 2017 Waivers	133KB	01/02/2017
January 16-31, 2017 Waivers	195KB	16/01/2017
January 1-15, 2017 Waivers	133KB	01/01/2017
December 16-31, 2016 Waivers	133KB	16/12/2016
December 1-15, 2016 Waivers	495KB	01/12/2016
November 16-30, 2016 Waivers	133KB	16/11/2016
November 1-15, 2016 Waivers	133KB	01/11/2016
October 16-31, 2016 Waivers	133KB	16/10/2016
October 1-15, 2016 Waivers	133KB	01/10/2016
September 16-30, 2016 Waivers	133KB	16/09/2016
September 1-15, 2016 Waivers	133KB	01/09/2016
August 16-31, 2016 Waivers	255KB	16/08/2016
August 1-15, 2016 Waivers	133KB	01/08/2016
July 16-31, 2016 Waivers	256KB	16/07/2016
July 1-15, 2016 Waivers	133KB	01/07/2016
June 16-30, 2016 Waivers	133KB	16/06/2016
June 1-15, 2016 Waivers	133KB	01/06/2016
May 16-31, 2016 Waivers	133KB	16/05/2016
May 1-15, 2016 Waivers	134KB	01/05/2016
April 16-30, 2016 Waivers	133KB	16/04/2016
April 1-15, 2016 Waivers	131KB	01/04/2016
March 16-31, 2016 Waivers	371KB	16/03/2016
March 1-15, 2016 Waivers	131KB	01/03/2016
February 16-29, 2016 Waivers	610KB	16/02/2016
February 1-15, 2016 Waivers	129KB	01/02/2016
January 16-31, 2016 Waivers	129KB	16/01/2016
January 1-15, 2016 Waivers	129KB	01/01/2016
December 16-31, 2015 Waivers	603KB	16/12/2015
December 1-15, 2015 Waivers	129KB	01/12/2015
November 16-30, 2015 Waivers	129KB	16/11/2015
November 1-15, 2015 Waivers	128KB	01/11/2015
October 16-31, 2015 Waivers	129KB	16/10/2015
October 1-15, 2015 Waivers	129KB	01/10/2015
September 16-30, 2015 Waivers	367KB	16/09/2015
September 1-15, 2015 Waivers	128KB	01/09/2015
August 16-31, 2015 Waivers	129KB	16/08/2015
August 1-15, 2015 Waivers	128KB	01/08/2015
July 16-31, 2015 Waivers	129KB	16/07/2015
July 1-15, 2015 Waivers	129KB	01/07/2015
June 16-30, 2015 Waivers	193KB	16/06/2015
June 1-15, 2015 Waivers	128KB	01/06/2015
May 16-31, 2015 Waivers	129KB	16/05/2015
May 1-15, 2015 Waivers	129KB	01/05/2015
April 16-30, 2015 Waivers	129KB	16/04/2015
April 1-15, 2015 Waivers	129KB	01/04/2015
March 16-31, 2015 Waivers	129KB	16/03/2015
March 1-15, 2015 Waivers	376KB	01/03/2015
February 16-28, 2015 Waivers	249KB	16/02/2015
February 1-15, 2015 Waivers	719KB	01/02/2015
January 16-31, 2015 Waivers	129KB	16/01/2015
January 1-15, 2015 Waivers	129KB	01/01/2015
December 16-31, 2014 Waivers	129KB	16/12/2014
December 1-15, 2014 Waivers	129KB	01/12/2014
November 16-30, 2014 Waivers	129KB	16/11/2014
November 1-15, 2014 Waivers	129KB	01/11/2014
October 16-31, 2014 Waivers	251KB	16/10/2014
October 1-15, 2014 Waivers	129KB	01/10/2014
September 16-30, 2014 Waivers	129KB	16/09/2014
September 1-15, 2014 Waivers	129KB	01/09/2014
August 16-31, 2014 Waivers	129KB	16/08/2014
August 1-15, 2014 Waivers	129KB	01/08/2014
July 16-31, 2014 Waivers	190KB	16/07/2014
July 1-15, 2014 Waivers	129KB	01/07/2014
June 16-30, 2014 Waivers	128KB	16/06/2014
June 1 - 15, 2014 Waivers	129KB	01/06/2014
May 16-31, 2014 Waivers	129KB	16/05/2014
May 1-15, 2014 Waivers	129KB	01/05/2014
April 16-30, 2014 Waivers	367KB	16/04/2014
April 1-15, 2014 Waivers	132KB	01/04/2014
March 16-31, 2014 Waivers	132KB	16/03/2014
March 1-15, 2014 Waivers	370KB	01/03/2014
February 16-28, 2014 Waivers	381KB	16/02/2014
February 1-15, 2014 Waivers	132KB	01/02/2014
January 16-31, 2014 Waivers	606KB	16/01/2014
January 1-15, 2014 Waivers	132KB	01/01/2014
December 16-31, 2013 Waivers	132KB	16/12/2013
December 1-15, 2013 Waivers	132KB	01/12/2013
November 16-30, 2013 Waivers	132KB	16/11/2013
November 1-15, 2013 Waivers	132KB	01/11/2013
October 16-31, 2013 Waivers	194KB	16/10/2013
October 1-15, 2013 Waivers	128KB	01/10/2013
September 16-30, 2013 Waivers	257KB	16/09/2013
September 1-15, 2013 Waivers	131KB	01/09/2013
August 16-31, 2013 Waivers	131KB	16/08/2013
August 1-15, 2013 Waivers	132KB	01/08/2013
July 16-31, 2013 Waivers	132KB	16/07/2013
July 1-15, 2013 Waivers	132KB	01/07/2013
June 16-30, 2013 Waivers	132KB	16/06/2013
June 1-15, 2013 Waivers	132KB	01/06/2013
May 16-31, 2013 Waivers	132KB	16/05/2013
May 1-15, 2013 Waivers	253KB	01/05/2013
April 16-30, 2013 Waivers	132KB	16/04/2013
April 1-15, 2013 Waivers	252KB	01/04/2013
March 16-31, 2013 Waivers	252KB	16/03/2013
March 1-15, 2013 Waivers	132KB	01/03/2013
February 16-28, 2013 Waivers	731KB	16/02/2013
February 1-15, 2013 Waivers	132KB	01/02/2013
January 16-31, 2013 Waivers	252KB	16/01/2013
January 1-15, 2013 Waivers	132KB	01/01/2013
December 16-31, 2012 Waivers	132KB	16/12/2012
December 1-15, 2012 Waivers	132KB	01/12/2012
November 16-30, 2012 Waivers	251KB	16/11/2012
November 1-15, 2012 Waivers	132KB	01/11/2012
October 16-31, 2012 Waivers	132KB	16/10/2012
October 1-15, 2012 Waivers	132KB	01/10/2012
September 16-30, 2012 Waivers	257KB	16/09/2012
September 1-15, 2012 Waivers	132KB	01/09/2012
August 16-31, 2012 Waivers	252KB	16/08/2012
August 1-15, 2012 Waivers	131KB	01/08/2012
July 16-31, 2012 Waivers	132KB	16/07/2012
July 1-15, 2012 Waivers	149KB	01/07/2012
June 16-30, 2012 Waivers	142KB	16/06/2012
June 1-15, 2012 Waivers	131KB	01/06/2012
May 16-31, 2012 Waivers	132KB	16/05/2012
May 1-15, 2012 Waivers	132KB	01/05/2012
April 16-30, 2012 Waivers	132KB	16/04/2012
April 1-15, 2012 Waivers	132KB	01/04/2012
March 16-31, 2012 Waivers	132KB	16/03/2012
March 1-15, 2012 Waivers	252KB	01/03/2012
February 16-29, 2012 Waivers	494KB	16/02/2012
February 1-15, 2012 Waivers	132KB	01/02/2012
January 16-31, 2012 Waivers	374KB	16/01/2012
January 1-15, 2012 Waivers	132KB	01/01/2012
December 16-31, 2011 Waivers	257KB	16/12/2011
December 1-15, 2011 Waivers	132KB	01/12/2011
November 16-30, 2011 Waivers	132KB	16/11/2011
November 1-15, 2011 Waivers	132KB	01/11/2011
October 16-31, 2011 Waivers	132KB	16/10/2011
October 1-15, 2011 Waivers	132KB	01/10/2011
September 16-30, 2011 Waivers	132KB	16/09/2011
September 1-15, 2011 Waivers	132KB	01/09/2011
August 16-31, 2011 Waivers	253KB	16/08/2011
August 1-15, 2011 Waivers	372KB	01/08/2011
July 16-31, 2011 Waivers	132KB	16/07/2011
July 1-15, 2011 Waivers	132KB	01/07/2011
June 16-30, 2011 Waivers	132KB	16/06/2011
June 1-15, 2011 Waivers	259KB	01/06/2011
May 16-31, 2011 Waivers	132KB	16/05/2011
May 1-15, 2011 Waivers	132KB	01/05/2011
April 16-30, 2011 Waivers	374KB	16/04/2011
April 1-15, 2011 Waivers	132KB	01/04/2011
March 16-31, 2011 Waivers	132KB	16/03/2011
March 1-15, 2011 Waivers	132KB	01/03/2011
February 16-28, 2011 Waivers	259KB	16/02/2011
February 1-15, 2011 Waivers	132KB	01/02/2011
January 16-31, 2011 Waivers	253KB	16/01/2011
January 1-15, 2011 Waivers	132KB	01/01/2011
December 16-31, 2010 Waivers	259KB	16/12/2010
December 1-15, 2010 Waivers	132KB	01/12/2010
November 16-30, 2010 Waivers	132KB	16/11/2010
November 1-15, 2010 Waivers	126KB	01/11/2010
October 16-31, 2010 Waivers	126KB	16/10/2010
October 1-15, 2010 Waivers	127KB	01/10/2010
September 16-30, 2010 Waivers	126KB	16/09/2010
September 1-15, 2010 Waivers	126KB	01/09/2010
August 16-31, 2010 Waivers	126KB	16/08/2010
August 1-15, 2010 Waivers	377KB	01/08/2010
July 16-31, 2010 Waivers	126KB	16/07/2010
July 1-15, 2010 Waivers	126KB	01/07/2010
June 16-30, 2010 Waivers	126KB	16/06/2010
June 1-15, 2010 Waivers	126KB	01/06/2010
May 16-31, 2010 Waivers	126KB	16/05/2010
May 1-15, 2010 Waivers	247KB	01/05/2010
April 16-30, 2010 Waivers	126KB	16/04/2010
April 1-15, 2010 Waivers	126KB	01/04/2010
March 16-31, 2010 Waivers	730KB	16/03/2010
March 1-15, 2010 Waivers	126KB	01/03/2010
February 16-28, 2010 Waivers	127KB	16/02/2010
February 1-15, 2010 Waivers	251KB	01/02/2010
January 16-31, 2010 Waivers	126KB	16/01/2010
January 1-15, 2010 Waivers	126KB	01/01/2010
December 16-31, 2009 Waivers	126KB	16/12/2009
December 1-15, 2009 Waivers	126KB	01/12/2009
November 16-30, 2009 Waivers	126KB	16/11/2009
November 1-15, 2009 Waivers	126KB	01/11/2009
October 16-31, 2009 Waivers	185KB	16/10/2009
October 1-15, 2009 Waivers	126KB	01/10/2009
September 16-30, 2009 Waivers	185KB	16/09/2009
September 1-15, 2009 Waivers	126KB	01/09/2009
August 16-31, 2009 Waivers	427KB	16/08/2009
August 1-15, 2009 Waivers	251KB	01/08/2009
July 16-31, 2009 Waivers	244KB	16/07/2009
July 1-15, 2009 Waivers	126KB	01/07/2009
June 16-30, 2009 Waivers	367KB	16/06/2009
June 1-15, 2009 Waivers	126KB	01/06/2009
May 16-31, 2009 Waivers	126KB	16/05/2009
May 1-15, 2009 Waivers	246KB	01/05/2009
April 16-30, 2009 Waivers	126KB	16/04/2009
April 1-15, 2009 Waivers	126KB	01/04/2009
March 16-31, 2009 Waivers	1MB	16/03/2009
March 1-15, 2009 Waivers	126KB	01/03/2009
February 16-28, 2009 Waivers	127KB	16/02/2009
February 1-15, 2009 Waivers	248KB	01/02/2009
January 16-31, 2009 Waivers	126KB	16/01/2009
January 1-15, 2009 Waivers	126KB	01/01/2009
December 16-31, 2008 Waivers	125KB	16/12/2008
December 1-15, 2008 Waivers	125KB	01/12/2008
November 16-30, 2008 Waivers	126KB	16/11/2008
November 1-15, 2008 Waivers	126KB	01/11/2008
October 16-31, 2008 Waivers	126KB	16/10/2008
October 1-15, 2008 Waivers	126KB	01/10/2008
September 16-30, 2008 Waivers	126KB	16/09/2008
September 1-15, 2008 Waivers	126KB	01/09/2008
August 16-31, 2008 Waivers	361KB	16/08/2008
August 1-15, 2008 Waivers	126KB	01/08/2008
July 16-31, 2008 Waivers	126KB	16/07/2008
July 1-15, 2008 Waivers	126KB	01/07/2008
June 16-30, 2008 Waivers	244KB	16/06/2008
June 1-15, 2008 Waivers	126KB	01/06/2008
May 16-31, 2008 Waivers	127KB	16/05/2008
May 1-15, 2008 Waivers	127KB	01/05/2008
April 16-30, 2008 Waivers	126KB	16/04/2008
April 1-15, 2008 Waivers	126KB	01/04/2008
March 16-31, 2008 Waivers	126KB	16/03/2008
March 1-15, 2008 Waivers	127KB	01/03/2008
February 16-29, 2008 Waivers	127KB	16/02/2008
February 1-15, 2008 Waivers	127KB	01/02/2008
January 16-31, 2008 Waivers	126KB	16/01/2008
January 1-15, 2008 Waivers	497KB	01/01/2008
December 16-31, 2007 Waivers	244KB	16/12/2007
December 1-15, 2007 Waivers	126KB	01/12/2007
November 16-30, 2007 Waivers	126KB	16/11/2007
November 1-15, 2007 Waivers	126KB	01/11/2007
October 16-31, 2007 Waivers	147KB	16/10/2007
October 1-15, 2007 Waivers	151KB	01/10/2007
September 16-30, 2007 Waivers	151KB	16/09/2007
September 1-15, 2007 Waivers	236KB	01/09/2007
August 16-31, 2007 Waivers	240KB	16/08/2007
August 1-15, 2007 Waivers	235KB	01/08/2007
July 2007 Waivers	50KB	01/07/2007
June 2007 Waivers	29KB	01/06/2007
May 2007 Waivers	73KB	01/05/2007
April 2007 Waivers	128KB	01/04/2007
March 2007 Waivers	29KB	01/03/2007
February 2007 Waivers	29KB	01/02/2007
January 2007 Waivers	50KB	01/01/2007
December 2006 Waivers	143KB	01/12/2006
November 2006 Waivers	308KB	01/11/2006
October 2006 Waivers	235KB	01/10/2006
September 2006 Waivers	191KB	01/09/2006
August 2006 Waivers	331KB	01/08/2006
July 2006 Waivers	240KB	01/07/2006
June 2006 Waivers	121KB	01/06/2006
May 2006 Waivers	168KB	01/05/2006
April 2006 Waivers	261KB	01/04/2006
March 2006 Waivers	123KB	01/03/2006
January 2006 Waivers	127KB	01/01/2006
December 2005 Waivers	121KB	01/12/2005
November 2005 Waivers	77KB	01/11/2005
October 2005 Waivers	145KB	01/10/2005
September 2005 Waivers	79KB	01/09/2005
August 2005 Waivers	168KB	01/08/2005
July 2005 Waivers	144KB	01/07/2005
April 2005 Waivers	238KB	01/04/2005
March 2005 Waivers	121KB	01/03/2005