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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

Effective date Amendment Notice/update
01/07/22 Updates to Chapter 5, Chapter 19 and Guidance Note 32 of the ASX Listing Rulebook - reporting requirements for oil and gas entities. ASX Notice 0697.22.06
01/07/22 Updates to ASX Listing Rules Guidance Note 15A no notice
08/10/21
Updates to:
  • Guidance Note 7 - US Entities – Regulation S Offerings on ASX
  • Guidance Note 11 - Restricted Securities and Voluntary Escrow
 

Compliance Update 09/21
(item 2)

 

01/07/21 Guidance Note 15a for FY22 no notice
05/06/21

On 5 June 2021, ASX amended its Listing Rules to incorporate changes relating to (among other things) its online forms, 
notification of security issues and corporate action timetables. It also published updated versions of the following
Guidance Notes reflecting the rule changes: 

  •  Guidance Note 8 - Continuous Disclosure: Listing Rules 3.1 – 3.1B 
  •  Guidance Note 14 - ASX Market Announcements Platform 
  •  Guidance Note 20 - ASX Online
  •  Guidance Note 30 - Notifying Changes in Issued Securities and Applying for Quotation of New or Additional Securities.

 

Compliance Update 04/21
(items 1 – 3)

 

12/03/21

On 12 March 2021, ASX released an updated version of Guidance Note 19 Performance Securities (“GN 19”).
A mark-up identifying the changes to GN 19 is available here

Compliance Update 02/21
(item 2)

 

09/12/20 On 9 December 2020, ASX released updates to ASX Listing Rules Guidance Notes 5 Chess Depositary Interests and
8 Continuous Disclosure: Listing Rules 3.1 – 3.1B. Mark-ups of the changes are available at:
Guidance Notice 5 - mark-ups and Guidance Notice 8 - mark-ups.

Compliance Update 12/20
(item 1)

 

09/09/20 “FOR” Financial Products: PointsBet Holdings Limited – Procedures: Schedule 1 ASX 1085.20.09
28/08/20 Updates to Guidance Notes 3 Co-operatives and Mutuals Listing on ASX, 4 Foreign Entities Listing on ASX,
12 Significant Changes to Activities and 19 Performance Securities.

Compliance update 09/20
(item 3)

 

28/02/20 Update to Guidance Note 8 Continuous Disclosure: Listing Rules 3.1 – 3.1B

Compliance Update 02/20
(item 1)

 

01/01/20

Updates to:

  • Guidance Note 9 Disclosure of Corporate Governance Practices - to reflect the coming into effect of the
    fourth edition of the Corporate Governance Principles and Recommendations 
  • Guidance Note 35 Security Holder Resolutions - to correct the summary of listing rule 3.13.2 in
    section 13 of the Guidance Note 
no notice
01/01/20 Listing fees: Guidance Note 15A no notice

Recent ASX Operating Rules amendments

Effective date Amendment Notice/update
30/05/22 Amendment: Procedures, Section 7 and Schedule 10A ASX Notice 0600.22.06
24/01/22 Package of Miscellaneous Procedure Amendments ASX Notice 1756.21.12
04/01/22  Amendment: Procedure 4025 – Order to Trade Ratio ASX Notice 1706.21.11
22/09/21 Amendment: Rule & Procedure Amendments – Section 7 , Procedure 7100 and 10A.3.3 of Schedule 10A ASX Notice 1318.21.09
07/05/21 Amendment: Introduction of 8 new ETO Class and associated ETO Special Size rule amendment ASX Notice 0555.21.04
09/12/20 On 9 December 2020, ASX released an update to ASX Operating Rule Guidance Note 12 Warrant and Aqua Product Liquidity Requirements to reflect the changes made earlier in the year to ASIC’s guidance in ASIC Information Sheet IS 230.
Mark-up showing the amendments
no notice
03/12/2­0 Temporary Exemption to Special Crossing of Exchange Traded Options for 15-17 December 2020 ASX Notice: 1606.20.12

Recent ASX 24 Operating Rules amendments

Effective date Amendment Notice/update
29/07/2022 Delisting of Wallumbilla Natural Gas Futures Contracts (GJ/GK) from the ASX 24 Trading Platform ASX Notice 0792.22.07
24/01/22 Package of Miscellaneous Procedure Amendments ASX Notice 1756.21.12
04/01/22 Amendment: Procedure 4025 – Order to Trade Ratio ASX Notice 1706.21.11
15/11/21 Review of ASX 24 Interest Rate Futures Expiry Position Limits ASX Notice 1621.21.1
7/06/21 4800 ASX Notice 0602.21.05
9/04/21 Amendment to Procedure 3200.8 and 4022 outlines the treatment of off tick order fills ASX Notice 0271.21.03
22/03/21 Australian Electricity Futures Contracts amended to reflect new 5 minute spot electricity settlement price from 1 October 2021. ASX Notice 0193.21.02
27/11/20  ASX 5 Year Treasury Bond Future Operating Rules ASX Notice 1402.20.11
18/08/20  S&P/ASX 200 Sector Index Futures - Change to Block Trading Procedures   ASX Notices 
07/08/20  ASX 24 Schedules - Australian Base Load Electricity Cap Futures Contract – Additional expiry and change of margining methodology.   ASX notice 0770.20.07
03/8/20  3 and 10 Year Bond Tick Increment Procedure update, and;
Amendment to Expiry Settlement Time for cash settled 90 Day Bank Bill Futures Contract 
ASX Notices
0878.20.08
0890.20.08
01/07/20 De-listing of Eastern Australia (EA) Canola Futures and Options Contracts ASX Notice 0467.20.05

Recent ASX Clear Operating Rules amendments

Effective date Amendment Notice/update
25/07/22 Minor amendments made to the ASX Clear Risk Consultative Committee (RCC) framework in the Procedures to enable all ASX Clear participants to participate in the RCC if they choose to do so. Mark up document
15/07/22 Amendments to ASX Clear Operating Rules Procedures and ASX Settlement Operating Rules Procedures – changes for AMOs ASX Notice 0731.22.07
09/05/22 Amendment: Guidance Note 13 - Managing liquidity requirements ASX Notice 0520.22.05
24/01/22 Package of Miscellaneous Procedure Amendments ASX Notice 1756.21.12
16/08/21 Changes to ASX Clear Operating Rules regarding trust and client segregated accounts ASX Notice 1092.21.08
07/05/21 Amendment: Introduction of 8 new ETO Class and associated ETO Special Size rule amendment ASX Notice 0555.21.04
23/11/20 Amendments to ASX Clear Operating Rules - National Stock Exchange of Australia Limited (NSX) commencement of Trade Acceptance Service in respect of their listed CHESS eligible Financial Products ASX Notice 1517.20.11
06/07/20 Default Management Enhancements to Operating Rules of ASX CS facility licensees. ASX notice 0716.20.07
28/02/20 Minor Amendments to ASX Clear Operating Rule Procedures – Form C3 (Transfer of Collateral between Participants) ASX Notice 0149.20.02

Recent ASX Settlement Operating Rules amendments

Effective date Amendment Notice/update
15/07/22 Amendments to ASX Clear Operating Rules Procedures and ASX Settlement Operating Rules Procedures – changes for AMOs ASX Notice 0731.22.07
24/01/22 Package of Miscellaneous Procedure Amendments ASX Notice 1756.21.12
12/12/21 ASX Settlement Operating Rules Procedures  amendments ASX Notice 1816.12.12
08/10/21 Guidance Note 13, ASX Settlement Operating Rules ASX Notice 1395.21.10
15/06/21 ASX Settlement Operating Rules Procedures Amendment - FOR TAGs ASX Notice: 0757.21.06 
01/06/21 “FOR” Financial Products: Keypath Education International Inc.– Procedures: Schedule 1 ASX Notice: 0696.21.06
29/03/21 “FOR” Financial Products: Computershare Limited – Procedures: Schedule 1 ASX Notice: 0378.21.03
23/12/20

“FOR” Financial Products: Omni Bridgeway Limited – Procedures: Schedule 1

ASX Notice 1756.20.12
25/11/20 “FOR” Financial Products: Pivotal Systems Corporation. – Procedures: Schedule 1 ASX Notice 1488.20.11
23/11/20 Amendments to ASX Settlement Operating Rules - National Stock Exchange of Australia Limited (NSX) commencement of Trade Acceptance Service in respect of their listed CHESS eligible Financial Products ASX Notice 1517.20.11
26/10/20 “FOR” Financial Products: Zebit, Inc. – Procedures: Schedule 1 ASX notice 1332.20.10
24/08/20  “FOR” Financial Products: Tabcorp Holdings Limited – Procedures: Schedule 1   ASX notice 0987.20.08
19/08/20  “FOR” Financial Products: Coronado Global Resources Inc. – Procedures: Schedule 1  ASX notice 0973.20.08
14/08/20 “FOR” Financial Products: Sydney Airport – Procedures: Schedule 1 ASX Notice 0948.20.08
06/07/20 Default Management Enhancements to Operating Rules of ASX CS facility licensees. ASX notice 0716.20.07
07/04/20 “FOR” Financial Products: Osprey Medical Inc – Procedures: Schedule 1 ASX Notice 0300.20.04
06/03/20 "FOR" Financial Products: Coronado Global Resources Inc - Procedures: Schedule 1 ASX Notice 0178.20.02

Recent ASX Clear (Futures) Operating Rules amendments

Effective date Amendment Notice/update
27/06/22 ASX OTC Clearing – OTC fallback rate provisions and OTC product eligibility enhancements ASX Notice 0680.22.06
01/02/22 DM Auction Framework and extension of existing default indemnity ASX Notice 1881.21.12
24/01/22 Package of Miscellaneous Procedure Amendments ASX Notice 1756.21.12
29/11/21 Clarifying ownership of cash and securities lodged as margin ASX Notice 169.21.11
04/10/21 ASX OTC Clearing – 2021 ISDA Interest Rate Derivatives Definitions ASX notice 1364.21.09
06/07/20

Default Management Enhancements to Operating Rules of ASX CS facility licensees.

ASX notice 0716.20.07
06/07/20 Multilateral Compression – ASX OTC Clearing    ASX notice 0722.20.07

Recent ASX Enforcement and Appeals Rulebook amendments

Effective date Amendment Notice/update
06/07/20

Default Management Enhancements to Operating Rules of ASX CS facility licensees.

ASX notice 0716.20.07

Recent Austraclear Regulations amendments

Effective date Amendment Notice/update
24/01/22 Package of Miscellaneous Procedure Amendments ASX Notice 1756.21.12
15/09/21 Amendment to Austraclear Limited Procedures Determinations and Practice Notes & Section 2, 3.3, 13.2, Schedule A,
Schedule C1; Austraclear Systems Regulations & Section 13.2
ASX notice 1202.21.09
01/07/21 Amendments to the Austraclear Regulations and Austraclear Regulations Procedures, Determinations and Practice Notes ASX notice 0726.21.06
01/03/21 Austraclear to introduce new Linked Settlement functionality and Market Repo enhancements ASX notice 0096.21.02
06/07/20

Default Management Enhancements to Operating Rules of ASX CS facility licensees.

ASX notice 0716.20.07
30/06/20 Austraclear payment of interest where interest rates are negative: Procedures 11.0.03 & 11.1 ASX Notice 0695.20.06

Recent ASX Recovery Rules amendments

No amendments since 1 June 2016.