CHESS User Interface

CHESS UI - On-boarding and Registration (Update)

Updated the email verification section to include an information box with contact details for requesting a new registration invitation.

Operational Procedures & Guidelines

Section 18 - Warrants (Update)

Updated to fix broken link referenced in 18.2.2, step 3 - Warrant Delivery by the Warrant Issuer’s Agent to the CHESS Subregister.

Bilateral Demand Transfer

Bilateral Demand Transfer Process (Update)

Updated the Business Values and Rules for the Bilateral and Unilateral Demand Transfer Request tables to include missing Settlement Date attribute.

Unilateral Demand Transfer

Unilateral Demand Transfer Process (Update)

Common Business Values

Holder Type (Update)

Updated to correct the Holder Type Business Value reference for Government Organisation from GVON → GOVN.

Cash Market Margin

Change Margin Settlement Amount Process (Update)

Updated to correct the message reference from Step 1 from ISO 20022 Messaging - MC - Cash Market Margin → Margin Settlement Amount Change Request (pldg_307).

Transfers and Conversions

Participant to Issuer Sponsored Conversion Process (Update)

Updated the Account Notification Business Values and Rules entry for Account Type to remove incorrect reference from Registration Identifier (RGID) → Delivering Account Identifier (HIN).

Payment Facilities

Stakeholder Feedback and ASX Response – Payment Facilities (Update)

Updated to correct Technical Committee date from 26 November 2019 → 1 November 2019.

ISO 20022 Messaging

ISO 20022 Messaging - Message Catalogue (MC)

Updated: ISO 20022 Messaging - MC - Security Sub-register Status Notification

• Updated to correct EIS reference from 518 → 528.

Failover and Recovery Guide

Section 02 - Connectivity Specific Failure and Recovery (Update)

Updated to include reference to CHESS users and CHESS user readiness. As mentioned in the Software Provider Readiness Working Group held on 19 January 2022, further information regarding Ledger API Error Code will be made in a subsequent release.

Section 03 - Failure and Recovery Testing in ITE (Update)

Connectivity Guide

3.1 IPSec VPN Connectivity (Update)

Updated to include further detail on IPSec VPN Connectivity usage.

Section 07 - ITE Certificate Management (Update)

Renamed and moved the ITE Certificate Management page → Section 07 - ITE Certificate Management (Connectivity Guide)

Industry Test Strategy

Section 06 - Documentation Release Plan (Update)

1. Updated to include links to documentation made available in the December 2021 and January 2022 documentation releases. This includes the User Testing Guide, Operational Readiness Scenarios (Tranche 1), Cutover and Migration Strategy and updates to existing documents such as the Guide to Testing Services and Connectivity Guide.

2. Updated the ASX Procedures and Guidelines (APGs) entry to clarify outstanding items. These include:

   • APG tariffs and levies (s18) – due Q2 2022;

   • APG appendices (form, samples) – due ahead of Operational Readiness; and

   • CHESS replacement end-state processing schedule – due ahead of MDR.

Guide to Testing Services

Section 03 - Access to Industry Test Environments (ITEs) (Update)

Updated the recommended client testing period from 9am-5pm → 8am-6pm.

Section 04 - Test Kits for ITE1 (Update)

1. Updated to include a reference to the User Guide (Section 03 - Environments and Datasets).

2. Updated and corrected references in the section 4.1.1 ActorID table.

Section 05 - Test Tooling (Update)

Removed environment specific test tooling. This information is now captured as part of sub-sections 5.1 and 5.2.

Section 06 - Performance Testing (Update)

Updated to include references to CHESS user performance testing and information regarding booking performance testing.

Section 05 - Test Tooling

5.1 - Test Tooling for ITE1 (NEW)

1. NEW page incorporating test tooling information for ITE1. This information was previously provided within Section 05 - Test Tooling.

2. Updated to include reference to Self-Service Bid Offer and Issuer Agent Transfer.

5.2 - Test Tooling for ITE2 (NEW)

NEW page incorporating test tooling information for ITE2. Further information on ITE2 Test Tooling will be made available in a subsequent release.

Accreditation Guide

Section 05 - Messaging Accreditation Testing (Update)

Updated Message Accreditation Timeline excel file to reflect the January message accreditation scenario updates.

Section 06 - Supplementary Information for Messaging Accreditation (Archived)

The Supplementary Information for Message Accreditation parent page has been archived. Child pages have been subsequently numbered.

• Message Accreditation Scenarios → Section 06 - Message Accreditation Scenarios

• CHESS User by Feature, Message → Section 07 - CHESS User by Feature, Message

Section 07 - CHESS User by Feature, Message (Update)

Section 06 - Messaging Accreditation Scenarios (Update)

1. Updated page to include a note regarding mFund Incremental Accreditation.

2. Updated the following Scenario File: Clearing and Settlement & Settlement Participant (Sheet: Demand Trnf & Settlement Inst).

   • Reason for change:

     • ASX acknowledge the market response that more participants will use Bilateral Settlement Instruction against Payment

     • Simplify the scenarios to use Supplementary Reference and Override Basis of Moment in different scenarios

   • Changes include:

     • Scenarios: CS-DS-14, SP-DS-13

       • Payment type change from Free of Payment → Against Payment;

       • Supplementary Reference added; and

       • Fields added:

         • Trade Date;

         • Settlement Amount;

         • Settlement Currency;

         • Credit Debit Indicator;

         • Secondary Matching Flag; and

         • Supplementary Reference.

     • Scenarios: CS-DS-15, SP-DS-14

       • Payment type change from Free of Payment → Against Payment;

       • Supplementary Reference removed; and

       • Fields added:

         • Settlement Amount

           • Settlement Currency; and

           • Credit Debit Indicator.

       • Fields removed:

         • Secondary Matching Flag; and

         • Supplementary Reference.

     • Scenarios: CS-DS-15A, SP-DS-14A

       • New scenario added for Payment Type, Free of Payment.

3. Updated the following Scenario File: Specialist SP (Offeror) (Sheet: Accounts & Holding Transfer).

   • Reason for change:

     • Residency Indicator is not applicable for most offerors

   • Changes include:

     • Scenario: OF-AC-02

       • Residency Indicator field removed from scenario.

     • Scenario: OF-HT-01

       • Guaranteed Foreign Indicator field removed from scenario.

4. Updated the following Scenario File: Payment Provider (Sheet: Batch Settlement).

   • Reason for Change:

     • Test tool name correction.

   • Changes include:

     • Scenarios: PP-BS-01, PP-BS-03

       • Corrected Test Tools name.

mFund Incremental Accreditation (Update)

NEW page detailing mFund Incremental Accreditation scenarios. These scenarios enable an incremental approach to mFund accreditation by allowing Clearing and Settlement, Settlement only and Account Software Providers to accredit mFund and reaccredit mFund related features separate to a previously accredited system.

All scenarios are mandatory except for DRP/BSP scenarios. DRP/BSP scenarios become mandatory if the system was previously accredited for this functionality.

User Guide

Section 01 - Introduction to the User Guide (NEW)

NEW document that provides an overview of the CHESS user readiness industry test phase and supporting information to define CHESS user test plans as well as the preparation for production and operational readiness.

The User Guide provides:

• an overview of the CHESS user readiness industry test phase and the environment supporting it, including ASX guiding principles and recommendations;

• overview of datasets and test tooling;

• details on ASX scheduled events including corporate actions, batch settlement and ASX assisted transactions;

• overview of performance testing and failover testing; and

• outline of the requirements to complete the Operational Readiness Assessment.

Section 02 - ITE2 Overview (NEW)

Section 03 - Environments & Datasets (NEW)

Section 04 - User Testing (NEW)

Section 05 - Operational Readiness (NEW)

Section 06 - Industry Wide Testing (NEW)

Section 07 - Operational Schedule (NEW)

Section 08 - Attestation (NEW)

Section 09 - Supplementary Information for CHESS User Readiness (NEW)

Operational Readiness Guide

Section 01 - Introduction to the Operational Readiness Guide (NEW)

NEW document that provides an overview of the Operational Readiness Assessment phase and operational readiness scenarios CHESS Users will need to complete provide assurance that they will successfully operate Business as Usual (BAU) functions using the CHESS replacement system.

The Operational Readiness Guide provides:

• an overview of the Operational Readiness Assessment phase;

• details on performing operational readiness; and

• the operational readiness scenarios.

Section 02 - Operational Readiness Assessment Phase (NEW)

Section 03 - Performing Operational Readiness (NEW)

Section 04 - Supplementary Information (NEW)

Operational Readiness Scenarios (NEW)

Operational Readiness - CHESS User by Feature, Message (NEW)

Industry Test Environment (ITE)

Software Provider Readiness (ITE1) (NEW)

NEW parent page grouping Software Provider Readiness (ITE1) related supporting documentation.

CHESS User Readiness (ITE2) (NEW)

NEW parent page grouping CHESS User Readiness (ITE2) related supporting documentation.

Support for ITE (Update)

Updated the contact information table to include support for ITE2 User Testing and Operational Readiness enquiries.

ITE1 Test Tools

ITE1 Self-Service Tools (Update)

Updated Connection details for all ITE1 Self-Service Tools to include the port number in the curl command. Refer to Section 04 - Networking Details for ITEs for further details.

ITE Application Forms

ITE2 Application Forms (Update)

Updated guidance to completing the ITE2 application form for organisations wishing to provide BIC details (for each UIC) to externally identify their CHESS entity, as well as Appendix A.

Cutover and Migration Strategy

Cutover and Migration Strategy Table of Contents (Update)

Updated to include the ability to export the entire document as a PDF.

Cutover and Migration Supporting Documentation

Cutover and Migration - Customer Migration Reports (Update)

1. Updated to Trading Participant to Clearing Participant Mapping Report - AMO to correct typos in the report reference from “provides each Authorised Market Operator (AMO) with a listing” → “Approved Market Operator (AMO) with a full list”.

2. Updated to capitalise report parameters.

Approved Market Operator (AMO)

A landing page that groups AMO specific documentation.

Updated to include reference to the Operational Readiness and User Testing Guide.

Payment Provider

A landing page that groups Payment Provider specific documentation.

Updated to include reference to the Operational Readiness and User Testing Guide.

Product Issuer Settlement Participant (PISP)

A landing page that groups PISP specific documentation.

Updated to include reference to the Operational Readiness and User Testing Guide.

Release Notes

Release Notes 2022 (NEW)

NEW parent page that groups release notes released in 2022.

Release Notes 2022

January 2022 - ITE1 Drop Notes (NEW)

NEW release note detailing the January ITE1 Code Drop v1.2.

What's New

What's New 2022 (NEW)

NEW parent page that groups what’s new updates released in 2022.

What's New 2022

31 January 2021 - ITE1 Supporting Documentation Updates (NEW)

NEW what’s new update incorporating changes to ITE1 supporting documentation supporting the January ITE1 code drop including:

1. Updates to the Registration Details Tool to enhance security.

2. Updates to the ITE1 Self-Service documentation to include new tools; and

3. Updates to the ITE1 Known Issues and Limitations page.

Frequently Asked Questions (FAQs)

FAQs - Software Provider Readiness

Updated to include 19 January 2022 – webinar questions and answers.