Operational Procedures & Guidelines

Content Pages (Update)

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

Section 03 - Participation in the settlement facility (Update)

Updated Section 3.9.3 - Establishing a Payment Facility to include a new information box: “A standalone Payment Facility must be used for each mFund sub-type. A single Payment Facility cannot be for used for both mFund Applications and mFund Redemptions. Payment Facilities used for mFund Applications or mFund Redemptions must also be separate from Payment Facilities created for Batch Settlement and/or Bilateral Demand Settlement Instructions”.

Section 11 - Corporate actions (Update)

Updated the following sections:

1. Updated the Procedure of Section 11.5 - Delisting to remove Step 4.

2. Updated Section 11.8.2 - Non Renounceable Entitlement Issue (includes the retail component of an Accelerated Non Renounceable Issue) to include the following changes:

   • Updated the Non Renounceable Entitlement Issue Lifecycle (Process Flow) to include optional Holding Balance Report functionality for accelerated issues.

   • Updated the Non Renounceable Entitlement Issue Lifecycle (Process Flow) to outline which functionality is applicable to accelerated issues.

   • Update the Procedure to remove “The cum entitlement balance is generated on record date for an accelerated entitlement issue” from the information box in Step 2.

   • Updated the Procedure to add an information box in Step 4: “For accelerated entitlement issues, at any time after the record date, participants can request holding balance information from CHESS through the Holding Balance Report process”.

3. Updated Section 11.8.3 - Renounceable Entitlement Issue (includes the retail component of an Accelerated Renounceable Issue) to include the following changes:

   • Updated the Renounceable Entitlement Issue Lifecycle (Process Flow) to include optional Holding Balance Report functionality for accelerated issues.

   • Updated the Renounceable Entitlement Issue Lifecycle (Process Flow) to outline which functionality is applicable to accelerated issues.

   • Update the Procedure to remove “The cum entitlement balance is generated on record date for an accelerated entitlement issue” from the information box in Step 2.

   • Updated the Procedure to add an information box in Step 4: “For accelerated entitlement issues, at any time after the record date, participants can request holding balance information from CHESS through the Holding Balance Report process”.

   • Other minor wording updates to procedure steps.

4. Updated Section 11.10.1 - Periodic Option Exercise or Note Conversions and 11.10.2 - Option Exercise or Note Conversions Prior to Final Expiry to include updated wording in Step 1 from “The issuer (registry) requests balances of notes holdings from the CHESS subregister through the Holding Balance (HBAL) process. These are transmitted to the issuer (registry) to facilitate preparation of exercise/conversion notices for CHESS security holders.” to “If required, the issuer (registry) requests balances of notes holdings from the CHESS subregister through the Holding Balance (HBAL) process. The issuer (registry) prepares the exercise/conversion notices for all security holders, including those on the CHESS subregister.”

5. Updated Section 11.12 - Security Purchase Plan to add to the information box in Step 1: “At any time after the record date, participants can request holding balance information from CHESS through the Holding Balance (HBAL) process”.

Additional details of this change are available here.

Section 12 - Acquisitions and other events (Update)

Updated the following sections:

1. Updated Section 12.3.6 - Finalising a Successful Off-Market Bid/Offer to include a new Step 2: “Where required, the bidder/offeror converts any CHESS subregister holdings to the issuer sponsored subregister through the Participant to Issuer Sponsored Conversion Process.”

2. Updated the Section 12.7.1 - Maturity Procedure to include updated wording in Step 1 from “The issuer (registry) receives balances of the expiring/maturing securities from CHESS through the Holding Balance (HBAL) process.” to “The issuer (registry) requests balances of the expiring/maturing holdings from the CHESS subregister through the Holding Balance (HBAL) process.”.

Additional details of this change are available here.

Section 21 - Reporting (Update)

Updated the following sections:

1. Updated to reflect the Netting and Settlement Workflow changes including:

   • Added the Netted Obligation Report (NNDP) to the End of Day Reports table; and

   • Added the Obligation Status Report (OBLG) to the Demand Reports table.

2. Updated 21.1.1 - Reporting via CHESS Messages to include the following changes:

   • Remove references to end of day reports being sent only to issuer (registries). With the introduction of the Netted Obligation Report (NNDP), Clearing and/or Settlement Participants will now receive end of day reports;

   • Added a recipient column to the End of Day Reports table; and

   • Added a clarification note that the Counterparty Funds Balance (CFBL) report is generated end of day to the Demand Reports table; and

   • Removed the following sentence: “CHESS demand reporting is available only to participants. Participants should use their own systems to provide CHESS report information to third parties.” This sentence does not reflect demand reporting available (in some instances) to Issuer (Registry) and Warrant Issuer’s Agent.

3. Updated references from Holding Balance Reporting Request (rptg_601) → Reporting Request (rptg_601).

4. Updated 21.4 - CHESS Response Times for Demand Reporting to include a Holding Balance (HBAL) demand report example.

5. Updated 21.8 - Requesting a Report to include the following changes:

   • Added the Obligation Status Report (OBLG); and

   • Added a clarification note that the Counterparty Funds Balance (CFBL) report is generated end of day to the Demand Reports table.

6. Updated 21.11 Projected Funds Obligation to include the following minor wording clarifications:

   • Added ‘a minimum of’ to the generation of two notifications to Payment Providers; and

   • Added ‘of’ to the following statement 'across all their Payment Facilities'.

Additional details of this change are available here.

Functional Specification

Netting and Settlement Workflow Changes (Update)

Updated the Settlement Transaction Generation Notification row to remove “Added a ‘Settlement Batch Id’ attribute which will allow a unique identifier for the current Batch Settlement cycle to be populated” from the Change column as it is not applicable.

Holding Administration Lock

Holding Administration Locking and Unlocking Process (Update)

Updated Functional Specification Process table to include Observer and API Contract information.

DRP/BSP Election and Distribution Advice Notification

Controlling Participant Initiated DRP/BSP Election Process (Update)

1. Updated Step 16 of the Controlling Participant Initiated DRP/BSP Election Process to refer to “Start of Day” housekeeping, previously this was “End of Day” housekeeping.

2. Updated the Corporate Action Election - Controlling Participant Business Values and Rules table to correct the Instructed Quantity attribute section description from “A Unit Quantity must be provided…” to “Instructed Quantity Code must be provided…”.

3. Updated the Corporate Action Election - CSP Business Values and Rules table Instructed Quantity attribute section description to reflect the update above.

4. Updated Functional Specification Process table to include Observer and API Contract information.

Controlling Participant Initiated DRP/BSP Election Cancellation Process (Update)

1. Updated Step 16 of the Controlling Participant Initiated DRP/BSP Election Cancellation Process to refer to “Start of Day” housekeeping, previously this was “End of Day” housekeeping.

2. Updated the Corporate Action Election Cancellation Status Advice - Pending Acknowledgement, Acknowledgement, Rejection and Housekept Business Values and Rules table description to correct the last dot point from “advising that their/a DRP/BSP Election cancellation was cancelled by ASX Housekeeping” to “advising that their DRP/BSP Election cancellation was cancelled by ASX Housekeeping”.

3. Updated the Corporate Action Election Cancellation Status Advice - Issuer (Registry) Acknowledgement and Rejection Business Values and Rules table Accepted attribute:

   1. Updated the parent tag from “<PrtrySts>” to “<Accptd>”.

   2. Updated the ISO 20022 Element from “Proprietary Status / Identification” to “No Specified Reason / No Reason”.

   3. Updated the Guideline code reference from “Acknowledged Accepted (PACK)” to “Accepted (NORE)”.

4. Updated Functional Specification Process table to include Observer and API Contract information.

DRP/BSP Election Enquiry Process (Update)

1. Updated the Corporate Action Election - Issuer (Registry) Business Values and Rules table to correct the Instructed Quantity attribute section description from “A Unit Quantity must be provided…” to “Instructed Quantity Code must be provided…”.

2. Updated the Corporate Action Election - Controlling Participant Business Values and Rules table Instructed Quantity attribute section description to reflect the update above.

3. Updated Functional Specification Process table to include Observer and API Contract information.

Collateral Management

Collateral Management Process - Removal for ETO (Update)

Updated Step 3 to include the BMW.ExpectingReply API Contract.

Collateral Removal for ETO Sub-process (Update)

1. Updated Step 7 of the Collateral Removal for ETO Sub-process table to remove the CollateralManagement.CollateralMovement API Contract and add the archived BMW.ExpectingReply API Contract.

2. Updated Steps 12, 14 and 15 of the Collateral Removal for ETO Sub-process table to include “Also observable by the ETO Clearing Participant” in the descriptions of the archived CollateralManagement.CollateralMovement API Contracts.

Collateral Removal Warning due to Expiry Process (Update)

Updated with a note that warrants are not accepted as collateral by ASX Clear for the Collateral Removal Warning due to Expiry Process.

Payment Facilities

Payment Facilities Overview (Update)

Updated the Payment Facility Sub-types section to include the following changes:

1. Updated the introduction sentence from “For each Payment Facility Type a Participant may request up to six Payment Facility sub-types to be associated” to “For each Payment Facility Type a Participant may request up to three Payment Facility sub-types to be associated”.

2. Updated the information box to include “A standalone Payment Facility must be used for each mFund sub-type. A single Payment Facility cannot be for used for both mFund Applications and mFund Redemptions”.

Corporate Actions

Basis of Movement (Update)

Updated the Cash Market Transaction row to reflect the Netting and Settlement Workflow changes. This update includes “[CDE9.5]” and “[CDE10]” tags to outline which release the content is applicable to.

Accounts

Account and Holder Creation Overview (Update)

Updated the Nominated Settlement Entrepot content to reflect the Netting and Settlement Workflow changes. This update includes “[CDE9.5]” and “[CDE10]” tags to outline which release the content is applicable to.

Account and Holder Changes (Update)

Account Cancellation Overview (Update)

Updated the “When the following settlement instructions/holding transfers exist for the Account (HIN):” list to reflect the Netting and Settlement Workflow changes. This update includes a “[CDE9.5]” tag to outline which release the content is applicable to.

AMO Overview

AMO Overview (Update)

Updated to link to the Connectivity Guide for FIX Networking and Security Details for ITE1.

ISO 20022 Messaging

ISO 20022 Messaging - Technical Manual (TM) (Update)

Updated: ISO 20022 Messaging - TM - BAH elements

Updated the Business Service BAH element BizSvc_Suffix (allowed values) with the following amendments:

• Updated from ‘null’ → ‘no suffix’; and

• Updated to include examples; (e.g. sett_101_001_01_!p) and (e.g. sett_101_001_01).

Updated: ISO 20022 Messaging - MC - Investor Data

Updated the UML for Bank Account Update/Delete to remove the ‘Previous Reference (related Transaction Id)’ annotation of Bank Account Notification. This annotation is incorrect and not applicable to the Bank Account Notification.

FIX Messaging

FIX Messaging - FIX Specification (FS) (Update)

Updated: FIX Messaging - FS - Introduction to FIX Messaging

Updated the introductory paragraph to the AMO Pricing Data section to reflect the Netting and Settlement Workflow changes. This update includes “[CDE9.5]” and “[CDE10]” tags to outline which release the content is applicable to.

FIX Messaging - Message Catalogue (MC) (Update)

Updated: FIX Messaging - MC - Trade Capture Report Ack (Type AR) Samples

Updated the AR Cancel Reject Sample to replace the NBO reference.

Connectivity

Connectivity Guide (NEW)

NEW document that outlines connectivity for ITE1. The document covers:

• overview of connectivity;

• networking and security details for ITE1; and

• connectivity testing.

Application Connectivity (Update)

Update to:

• Rename of page from Connectivity Overview to Application Connectivity

• Rearrangement of pages Connectivity Comparison, Application Connectivity, Ledger API Integration and Messaging Connectivity underneath.

Ledger API Integration

Contracts Overview (Update)

Updated to include missing content regarding the Master Ingress Contract overview. Information included in this section was previously only present in the Connectivity FAQs.

Application Connectivity

CHESS User Interface (Update)

1. Renamed from “CHESS User Interface Connectivity” → “CHESS User Interface”

2. Updated to move the CHESS User Interface section outside of Connectivity. This section is now standalone.

ASX Net (Archived)

This page has been archived as it is superseded by the Connectivity Guide.

Site to Site IPSec VPN Internet Connectivity (Archived)

This page has been archived as it is superseded by the Connectivity Guide.

CHESS User Interface

CHESS User Interface Overview (Update)

Removed “Query historical Account updates” from the CHESS UI Features table.

Contracts Overview

How to Read API Contracts (Update)

Updated the API Contracts Technical Documentation section to include the list of updated Functional Specifications.

API Contract Catalogue

BMW API Contract (NEW)

NEW chapter of the catalogue including the ExpectingReply API Contract.

Reference Data API Contracts (Update)

Updated the AssetServicing API Contracts to reflect the release of the DRP/BSP Election API Contract Functional Specification updates. New API Contracts include:

• AssetServicing.DividendElection

• AssetServicing.DividendElectionQuery

• AssetServicing.InstructedQuantity

• AssetServicing.CancellationRequestReason

Holdings API Contracts (Update)

Updated to remove the HoldingAdminLockFullView template from Module DA.ASX.API.Holding.HoldingAdminLock_V001 as it is not applicable.

ITE1 Application Forms

ITE1 Application Forms (Update)

Updated to clarify the following ITE Connectivity (communication link) Configuration Detail from ‘Service Connection B - Fibre connection’ → ‘Service Connection B - Cross Connect’.

Technical Accreditation

Performing Message Accreditation (Update)

Optional Criteria (Update)

Industry Test Strategy

Section 02 - Industry Testing Overview and Timeline (Update)

Correction of timelines to reflect IWT 2 starting in February 2023.

Section 04 - CHESS User Readiness (Update)

Section 06 - Documentation Release Plan (Update)

Release Notes

Forward Release Plan (Update)

Removed the following info box: “The Payment Provider Projection and Counterparty Funds Balance reports are dependent on outcomes from the consultation relating to netting and settlement functionality.“

Glossary Terms

Lists and defines terms used in technical documentation and the APG. This glossary is for general guidance only. It does not amend or replace any definitions used in any ASX rulebooks.

Updated the following term and definition:

• Settlement Instruction