Operational Procedures & Guidelines

Content Pages (Update)

Updated APG section version to reflect the March 2021 Documentation Release.

Section 04 - Account administration (Update)

1. Updated Section 4.9.3 - Death of a Joint Holder to include the following statements:
   Where a participant places a deceased lock on a joint holder, the account (HIN) will be automatically locked. It is not mandatory to place a deceased lock on a joint holder when there is a surviving holder.
   Where all holders of a joint account (HIN) are deceased and has holdings, a deceased account (HIN) lock is required.

2. Updated Section 4.10.1 - Death of a Holder to include the following statement:
   It is not mandatory to unlock an account that has nil holdings prior to cancelling the account.

3. Updated Section 4.10.2 - Bankruptcy of a Holder to include the following statement:
   For accounts notified as bankrupt with nil holdings, it’s not mandatory to unlock the account prior to cancelling the account.

Additional details of this change are available here.

Functional Specification

Proposed Changes to Netting and Settlement Workflow (Update)

Updated to include further information regarding the proposed changes to the netting and settlement workflows.

Accounts

Account and Holder Locking and Unlocking Overview (Update)

Updated the Request to Unlock - Unlock account locked in error table entry for Account update reason to correct the Field Option from Action by ASX Operations (AXSO) → Error (ERRO).

Payment Facilities

Update Payment Provider Process (Update)

Updated to clarify the message name reference from Update Payment Payment request → Update Payment Facility request.

mFund

mFund (Update)

Updated to include an information box listing the functional specifications that additionally impact mFund Users.

DRP/BSP Election and Distribution Advice Notification

DRP/BSP Election and Distribution Advice Notification Changes (Update)

Updated the Asset Class Support change to clarify the Distribution Advice Notification functionality.

Corporate Actions

Schemes of Arrangement Overview (Update)

Updated the “The CSP notifies Participants of the Holding Adjustments using the reason code Scheme of Arrangement (SCOA)” sentence to include “or Merger (MRGR)”.

ISO 20022 Messaging

ISO 20022 Messaging - Message Catalogue (MC) (Update)

Updated: ISO 20022 Messaging - MC - Common message collection

Updated Transaction Acknowledgement Advice (comm_809) to add EIS946 as an equivalent EIS message.

Updated: ISO 20022 Messaging - MC - Pledge and Lodgement message collection

Updated Margin Settlement Amount Change Status Notification (pldg_308) to remove EIS946 as an equivalent EIS message.

Cutover and Migration

Cutover and Migration Overview (Update)

1. Updated to adjust references to the Registration Details Tool from ASX Registration Details Tool → Registration Details Tool.

2. Updated to reflect that the Registration Details Tool has been made available.

Cutover and Migration - Registration Details Tool (Update)

1. Updated to include minor clarifications and wording adjustments, for example Algorithm → Logic.

2. Updated the Logic for converting registration details numbered lists into a tabulated format.

3. Updated to include a Known Limitation and Secondary Scenario Example.

Exceptions (Warnings and Errors) (Update)

Major updates to the page including the following changes:

1. Updated the Exceptions Identified by the Tool table to include a Remediation Process column.

2. Updated the Known exceptions identified by the ASX but not by the Registration Details Tool table to include a Remediation Process column.

3. Updated the Exceptions identified by neither the ASX or the Registration Details Tool table to include a new exception, as well as information regarding the remediation process post migration weekend for exception the Ampersand character (&) or word “AND” used as a delimiter between Holder Names exception.

Release Notes

Forward Release Plan (Update)

Updated to reflect changes to the Account Notification Report (ACNT). This report will now be available as part of CDE11.

What's New

8 March 2021 - Forward Release Plan, Netting, Settlement and General Documentation Updates (NEW)

NEW page released 8 March 2021 detailing minor changes and corrections as well as publishing of the I&T working group 23 February 2021 – webinar questions and answers.