Updated ASX Settlement Procedure Guidelines

This page contains draft ASX Settlement Procedure Guidelines (APG) effective 13 December 2021.

ASX released changes to the APG as part of the delivery of electronic CHESS holding statements and notifications. These changes are marked up in the documents listed below. 

• Updated explanatory notes for ASX Settlement Procedure Guidelines

Updated ASX Settlement Procedure Guidelines 

Updated sections of the ASX Settlement Procedure Guidelines can be accessed below.

• Updated ASX Settlement Procedure Guidelines  - Content pages
• Updated ASX Settlement Procedure Section 01 - Introduction to this guide
• Updated ASX Settlement Procedure Section 03 - ASX settlement participation
• Updated ASX Settlement Procedure Section 04 - Client sponsorship
  
• Updated ASX Settlement Procedure Section 05 - Client/holder administration
  
• Updated ASX Settlement Procedure Section 06 - Conversion between subregisters
  
• Updated ASX Settlement Procedure Section 08 - Transfers between holdings
• Updated ASX Settlement Procedure Section 12 - Corporate actions
• Updated ASX Settlement Procedure Section 13 - Acquisitions
  
• Updated ASX Settlement Procedure Section 16 - Reporting
• Updated ASX Settlement Procedure Section 19 - CHESS depositary interests
• Updated ASX Settlement Procedure Section 20 - Primary market facility
  
• Updated ASX Settlement Procedure Section 21 - Issuer sponsored enquiry
  
• Updated ASX Settlement Procedure Section 23 - Warrants
• Updated ASX Settlement Procedure Section 28 - mFund settlement service

ASX Settlement Procedure Guidelines - changes to the printed notification samples

The samples of printed notifications remain the same with the exception of the removal of Sample B3.

ASX Settlement Procedure Guidelines - list of electronic samples

• Sample A - New CHESS holder
• Samples B1 - Change of name and/or address details in CHESS
• Sample B2 - Change of address details in CHESS
• Sample C - Change of CHESS sponsor
• Sample D1 - How to read your CHESS holding statement
• Sample D2 - How to read your CHESS holding statement (mFund)
• Sample E - Suspension of CHESS holding statements
• Sample F - Reinstatement of CHESS holding statements
• Sample G - Change of CHESS account from sponsored to direct
• Sample H - Change of CHESS account direct to sponsored
• Sample I - Reservation of securities for collateral
• Sample J - Release of securities from collateral
• Sample K - Reconstruction of securities - collateral update
• Sample L - Adjustments of securities - collateral update
• Sample M - Release of securities from collateral sponsor
• Sample N - Offer acceptance
• Sample O - Release of an offer acceptance
• Sample P - Reconstruction of securities - offer acceptance update
• Sample Q - Adjustment of securities - offer acceptance update
• Sample R - Release of securities from offer acceptance
• Sample S - Application of CHESS holding lock
• Samples T - Removal of CHESS holding lock
• Sample U - Change of CHESS holder status
• Sample V - Change of residency details in CHESS
• Sample W - Change of CHESS account
• Sample X - CHESS HIN linked to client account for options market contracts
• Sample Y - Removal of CHESS HIN link to client account for option market contracts