ASX confirms amendments to Guidance Note 08 – Notifications (Guidance Notes) in respect of each of the ASX Operating Rules, ASX Clear Operating Rules, ASX Settlement Operating Rules, ASX 24 Operating Rules, ASX Clear (Futures) Operating Rules (together the Rulebooks) to:

•       Remove redundant references including to client segregated accounts and NTA;
•       Amend the guidance on participants’ objective assessment of the significance of breaches;
•       Include requirements in respect of Liquidity-related notifications (ASX Clear only), Disaster Recovery related notifications and Business Continuity Plan related notifications; and
•       Amend certain of the references to general notification obligations and mode of notification.

Background

ASX put in place a number of notification requirements relating to Liquidity and Business Continuity Officers. To facilitate greater specificity as to notification requirements as well as a more general update, ASX needs to make amendments to the Guidance Notes applicable to the Rulebooks. This includes amendments to:

•      Remove redundant references including to client segregated accounts and NTA;
•      Amend the guidance on participants’ objective assessment of the significance of breaches;
•      Include requirements in respect of Liquidity-related notifications (ASX Clear only), Disaster Recovery related notifications and Business Continuity Plan related notifications; and
•      Amend certain of the references to general notification obligations and mode of notification.   

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 8 - Notification Obligations
ASX Clear Operating Rules Guidance Note 8- Notification Obligations
ASX Settlement Operating Rules Guidance Note 8 - Notification Obligations
ASX 24 Operating Rules Guidance Note 8 Notification - Obligations
ASX Clear (Future)s Operating Rules Guidance Note 8 - Notification Obligations

Need more information?

Issued by

Participants Compliance

Contact information

+61 (02)  9338 0000
www.asx.com.au/contact
Participants.Compliance@asx.com.au

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