Notice

Participant obligation under ASX Clear Operation Rules 3.5.1 and 4.2.1

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Notice reference number: 1420.16.11
Date published: 25/11/16
Effective as of: 25/11/16
Last updated: 20/03/26

Participants are reminded of their organisational requirement obligations under ASX Clear Operating Rule 3.5.1 and Participants ongoing compliance obligations under ASX Clear Operating Rule 4.1.1, specifically in relation to operational support and availability during the Weekly and Monthly Single Stock and Index Expiry process.

ASX Clear Operating rule 3.5.1 requires that Participants have resources and processes in place to comply with their obligations under the Rules.  ASX Clear Operating Rule 4.1.1 requires that a Participant must at all times continue to satisfy the applicable Admission Requirements.

During the Weekly and Monthly ETO and Index Expiry process, ASX Operations performs a monitoring function to ensure that the expiry process is completed without issue.  In the event that an issue arises, ASX needs to be able to contact a Participants’ operations staff up until 7:30pm when the monitoring process has completed to ensure that issues are resolved prior to the commencement of EOD. 

What do I need to do by when?

Participants are required to complete the attached contact form, including two senior escalation contacts and mobile numbers.  Please return the completed form to deriv.clearing@asx.com.au by 12 October 2016

Escalation contact list

Need more information?

Issued by

Christina D’Amico
Senior Manager, Post Trade Operations

Contact information

Post Trade Operations
1800 814 051
deriv.clearing@asx.com.au

 

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