October 2021 - Documentation Release Notes

October 2021 Document Release

The October 2021 documentation release, includes updates to some areas of functionality and messaging from a prior release. Full details are provided below.

Updates to previously published functionality or corrections have been identified in orange on relevant pages. Changes to APG sections will be accompanied by a page history comparison per 1.7 Maintenance and Updates. Deletions, code snippets, hyperlinks, images, name changes, updates to API Contract Catalogues and major updates to pages or tables are not marked in orange.

New Documentation:

  • Payment Provider Landing Page;

  • Product Issuer Settlement Participant (PISP) Landing Page; and

  • Connectivity Guide, including a new section on CSAM Security Details.

Documentation updated:

  • FIX Connectivity, including supporting information from the AMO Working Group;

  • AMQP Connectivity, including supporting information from the Software Provider Readiness Working Group;

  • General amendments, including:

    • CHESS UI User Guide;

    • Operational Procedures & Guidelines; and

    • Known Issues and Limitations, capturing a new observed behaviour.

A full archive of content prior to the October 2021 Documentation Release is available here for reference.

CHESS User Interface

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CHESS User Interface

CHESS User Interface Overview (Update)

Updated the CHESS UI Features table for the mFund and workflow (“Four eyes” approval) features from Post-ITE 1 → ITE 1.

CHESS UI - mFund Application Order - PISP Management (Update)

  1. Updated the mFund Application Order Completion – Unit Allotment section to replace the ‘Coming Soon’ placeholders with UI screenshots of the mFund Application Order Completion process.

  2. Updated the mFund Application Order Cancellation and mFund Application Order Update sections to replace screenshots with updated UI screens that display the ‘Complete’ button.

Operational Procedures & Guidelines

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Operational Procedures & Guidelines

Content Pages (Update)

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

Section 02 - CHESS overview (Update)

Updated section 2.1 CHESS Concepts and section 2.1.4 Approved Financial Products to clarify references to Approved Market Operators (AMOs).

Additional details of this change are available here.

Section 03 - Participation in the settlement facility (Update)

  1. Updated section 3.1 ASX Participant Concepts, diagram 1, section 3.2 Trading Participants and section 3.2.1 Trade Acceptance Service to clarify references to Approved Market Operators (AMOs).

  2. Removed the following statement from section 3.3.2 General Clearing Participants: “and a settlement agreement where the general clearing participant uses a settlement participant to settle the trades executed i.e. is a clearing only participant” as the separation of clearing and settlement is not supported.

Additional details of this change are available here.

Section 04 - Account administration (Update)

Updated to include section 4.7.5 - Changing an Account (HIN)'s Type. This section includes information regarding the ability for both participants and ASX Operations to modify the account type attribute.

Additional details of this change are available here.

Section 08 - Market trade processing (Update)

Updated section 8.2 Trade Processing and 8.3 Novation to clarify references to Approved Market Operators (AMOs).

Additional details of this change are available here.

Section 11 - Corporate actions (Update)

  1. Updated to resolve URL inconsistencies resulting in the display of a complete hyperlink as opposed to the page’s name.

  2. Updated section 11.8.1 Participant Initiated DRP/BSP Elections and Cancellations to include the following clarification “The issuer (registry) will, at the time of each dividend determine whether a DRP/BSP election meets the rules of the issuers Dividend Reinvestment and/or Bonus Share Plan rules.”

Additional details of this change are available here.

Section 22 - Issuer (registry) procedures (Update)

Updated to resolve URL inconsistencies resulting in the display of a complete hyperlink as opposed to the page’s name.

Additional details of this change are available here.

Section 23 - mFund settlement service (Update)

Updated to resolve URL inconsistencies resulting in the display of a complete hyperlink as opposed to the page’s name.

Additional details of this change are available here.

Functional Specifications

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Code Change and Class Mergers

Class Merger Process (Update)

Updated the Holding Adjustment Notification Business Values and Rules table to include applicable annotates regarding the addition of the Issuer to Participant Transfer / Conversion process flow steps outlined in September 2021 - Documentation Release Notes.

Reporting

Reporting Changes (Update)

Updated to include a line item regarding Report Cancellation. In the CSP, reports cannot be cancelled once accepted by the application.

Account Notification Reporting (ACNT) (Update)

Updated the Account Notification Reporting Request business values and rules to separate parameters for Participants and Issuer (Registries).

Cum Entitlement Balance (CEBL) (Update)

  1. Updated to clarify and correct the example provided where the Reporting Request (rptg_601) will be rejected where Security Code = (blank) and Account Identifier (HIN) element = ALL.

  2. Updated the Reporting Request (Cum Entitlement Balance) business values and rules table to remove the ‘One of the following attributes must be populated where the report is requested for all Account (HINs)’ subheading and clarify for the Security Code element that ‘Security Code must be provided if Account Identifier (HIN) is populated with 'ALL'.’

Demand Statement (DSMT) (Update)

Updated to correct the business value and rule for Report Type from DMST → DSMT.

Diary Adjustments

Diary Adjustments Process (Update)

Updated to remove references to Net Broker Obligations (NBO).

Messaging

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ISO 20022 Messaging

ISO 20022 Messaging - Message Catalogue (MC)

Updated: ISO 20022 Messaging - MC - Settlement message collection

Updated the annotation for Settlement Transaction Generation Notification (sett_130) to remove the Batch Id.

FIX Messaging

FIX Messaging - Message Catalogue (MC)

Updated: FIX Messaging - MC - Logout (Type 5)

Updated to tag 1409 (SessionStatus) to include the following additional valid value 3 - New session password does not comply with policy and 4 - Session logout complete.

Updated: FIX Messaging - MC - Logon (Type A)

The following changes have been made:

  • Included a new optional tag 925 (NewPassword). This tag specifies a new password for the FIX Logon and is used for subsequent logons.

  • Included a new optional tag 1409 (SessionStatus). This tag specifies the sessions status and is only used on messages sent from the ASX.

  • Updated 108 (HeartBtInt) to amend the values accepted for this field.

  • Updated 141 (ResetSeqNumFlag) to remove the statement “MsgSeqNum must be 1”.

Connectivity

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Connectivity Guide

Section 06 - CSAM Security Details (NEW)

NEW section detailing the Customer Service Account Management (CSAM) application. The CSAM application allows software providers and CHESS users to self-manage their own organisation's service accounts and certificate credentials (machine to machine), used to securely connect to the CSP.

Section 01 - Introduction to Connectivity Guide (Update)

Updated to include a new section, section 1.2 CHESS Replacement System Access Pricing.

Section 03 - Connectivity Overview (Update)

Updated: 3.4 Cross Connect Connectivity

Updated section 3.4.2 cross connect connection details to include the following corrections and clarifications:

  • Removed the following statement ‘ASX standard routing is static’; and

  • Adjusted the following statement from ‘ASX offer Border Gateway Protocol (BGP) for customers on request’ -> ‘ASX offer Border Gateway Protocol (BGP) for customers’

Section 04 - Networking Details for ITEs (Update)

Updated section 4.3 FIX Gateway to include further information regarding FIX Password Management.

Advanced Messaging Queuing Protocol (AMQP)

AMQP Overview (Update)

Major updates based on content covered in the 15 September 2021 - Software Provider Readiness Working Group. Updates also corrects references of IWT → ITE1 including dates and the naming conventions mentioned in the Connectivity Guide.

AMQP Architecture (Update)

AMQP Connectivity to the ASX (Update)

AMQP v1.0 Example Clients (Update)

Implementation Phases

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Guide to Testing Services

Section 04 - Test Kits for ITE1 (Update)

Updated to include methods on how an account can be hydrated. The Test Kit Type table was amended to reflect an error in publication. Payment providers are not required to test or accredit corporate actions.

Customer Development Environment (CDE)

CDE Known Issues & Limitations (Update)

Updated to include a newly identified overserved behaviour regarding the reporting of archived/historical Settlement Instructions in the Obligation Status Report.

Approved Market Operator (AMO)

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Approved Market Operator (AMO)

A landing page that groups AMO specific documentation.

  1. Updated to include a reference to the Guide to Testing Services.

  2. Updated to include a reference to Test Environment Availability and System Event Times (Guide to Testing Services section 3).

Payment Provider

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Payment Provider

A new landing page that groups Payment Provider specific documentation.

NEW page including links to technical documentation relevant to Payment Providers.

Product Issuer Settlement Participant (PISP)

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Product Issuer Settlement Participant (PISP)

A new landing page that groups PISP specific documentation.

NEW page including links to technical documentation relevant to PISPs.

Release Notes

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CHESS Replacement Scope

CHESS User by Function (Update)

  1. Updated the Corporate Actions - DRP Elections function for Product Issuer Settlement Participant (PISP) from Optional → n/a. This update matches previously published Messaging Accreditation Scripts.

  2. Added the following entry ‘Corporate Actions - DRP Elections (Issuer Cancellation)’ to separate transactions previously grouped with Corporate Actions - DRP Elections.

Frequently Asked Questions (FAQs)

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Frequently Asked Questions (FAQs)

FAQs - Functional Specification (Update)

  1. Updated to include the following question “What transactions can be completed when the CHESS Sub-register is either suspended, closed or archived?“

  2. Updated the ‘Netting and Settlement Workflow Changes’ section to provide links to documentation regarding the design of netting and settlement workflows.

  3. Updated the Focus Group FAQs section from “ASX hosted three focus groups to discuss the changes to netting & settlement workflows … Frequently asked questions on the changes, including questions asked before, during and after the  focus group sessions are available here” to “ASX hosted three focus groups in March 2021 to discuss the changes to netting & settlement workflows … Frequently asked questions on the changes, including questions asked before, during and after the March 2021 focus group sessions are also available here”.

  4. Updated the ‘Timing of Settlement Instruction Generation Notification' answer to provide additional detail.

  5. Updated the ‘Non-novated gross market trades’ answer to provide additional detail.

  6. Updated to include SPR working group - 13 October 2021 - webinar questions and answers to the new ‘Settlement Failure Notifications’ section.

FAQs - Implementation and Transition (Update)

Updated to include I&T working group 29 September 2021 – webinar questions and answers.

FAQs - Software Provider Readiness (Update)

Updated to include SPR working group – 13 October 2021 – webinar questions and answers.

Other Information & Publications

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Other Information & Publications

A page that includes additional resources related to CHESS Replacement.

Updated to include a new section referencing the 29 September 2021 information sheet regarding CHESS Replacement System Access Pricing.