Table of Contents

Document Release 1

The release notes detail the scope of the first tranche of technical documentation, released in December 2018 (Document Release 1).

It includes functional specifications, messaging requirements, technical details surrounding connectivity and internal system features.

Scope will not necessarily encompass one-to-one mapping with the first drop of code into the Customer Development Environment (CDE) scheduled for April 2019 (CDE Drop 1). Rather, where possible, ASX will provide early documentation to assist stakeholders with analysis and planning.

Functional Specifications

Function	Description	Release Notes
Holder and Account Creation	The ability to create holders and Accounts.	Document Release 1 and CDE Drop 1 includes the ability to create holders and Accounts (HINs) in an active state. Other states including the ability to lock an Account (HIN) for administrative purposes, such as bankruptcy or death, will follow in a subsequent release.
Holder and Account Modification	The ability to modify holder and Account details.	Document Release 1 and CDE Drop 1 will include basic holder and Account Modification features such as change of registered holder details with the following exceptions - Account cancellation; change of sponsorship; standing instructions; and dissemination of TFN, ABN or bank account details to Issuers (or their agents) or Account preferences to support new requirements, which will follow in a subsequent release.
Bilateral Demand Transfers	A request to transfer units immediately, Free of Payment (FoP), between two Accounts (HINs) sponsored by two different Participants.	Document Release 1 and CDE Drop 1 includes end-to-end workflow for this transaction type with the exception of Transaction features dependent on corporate actions, including Basis of Movement validation, Basis of Movement Matching and Override Basis of Movement; and The related notifications to the Registry for holding transfers. which will follow in a subsequent release.
Unilateral Demand Transfers	A request to transfer units immediately, Free of Payment (FoP), between two Accounts (HINs) under the control of the same Settlement Participant, whom is also the submitter of the request.	Document Release 1 and CDE Drop 1 includes end-to-end workflow for this transaction type with exception of Transaction features dependent on corporate actions, including Basis of Movement validation, Basis of Movement Matching and Override Basis of Movement; and The related notifications to the Registry for holding transfers. which will follow in a subsequent release.
Bilateral Settlement Instructions	A request to transfer units, during the nominated Batch Settlement Cycle, Delivery versus Payment (DvP) or Free of Payment (FoP), between two Accounts (HINs) controlled by two different Participants.	Document Release 1 includes end-to-end workflow for this transaction type with the exception of Transaction features dependent on corporate actions, including Basis of Movement validation, Basis of Movement Matching and Override Basis of Movement; and The related notifications to the Registry for holding transfers. which will follow in a subsequent release. Documentation is provided for this feature to enable Participants to commence development given the high degree of commonality between the various transfers and settlement instructions. However, this function will not be available in CDE Drop 1. Instead, working code will follow in a subsequent CDE drop.
Unilateral Settlement Instructions	A request to transfer units during the nominated scheduled batch settlement cycle, Free of Payment (FoP), between two Accounts (HINs) controlled by the same Participant.	Document Release 1 includes end-to-end workflow for this transaction type with the exception of Transaction features dependent on corporate actions, including Basis of Movement validation, Basis of Movement Matching and Override Basis of Movement; and The related notifications to the Registry for holding transfers. which will follow in a subsequent release. Documentation is provided for this feature to enable Participants to commence development given the high degree of commonality between the various transfers and settlement instructions. However, this function will not be available in CDE Drop 1. Instead, working code will follow in a subsequent CDE drop.
Bilateral Demand Settlement Instructions	A request to immediately transfer securities against payment (DvP), between two Accounts (HINs) sponsored by two different Participants.	Document Release 1 and CDE Drop 1 includes end-to-end workflow for this transaction type with the following exceptions that have future system development dependencies: Corporate actions related dependencies, including Basis of Movement validation, Basis of Movement Matching and Override Basis of Movement. Real-time cash settlement, including payment service connectivity and related payment facilities for settling real time Non-Batch. A simulated payment service will be used to enable settling of Bilateral Demand Settlement Instructions and actual payment service connectivity will follow in subsequent releases. The simulated payment service will accept any settlement amount up to and including $100,000 and will reject any settlement amount greater than $100,000. The related notifications to the Registry for holding transfers.
Common Business Principles	Details common business principles across Bilateral Transfers including Matching, Tolerances, Linking and Housekeeping.	Document Release 1 includes all relevant principles applicable to Holding Transfer transactions delivered in CDE Drop 1.
Common Business Values	Details common business values applicable to supporting Holding Transfers and Holder & Account related transactions.	Document Release 1 includes all relevant values applicable to Holding Transfer transactions and Holder and Account transactions delivered in CDE Drop 1.
Settlement Locks	The ability to lock units for the purpose of settlement either as part of a Unilateral or Bilateral Settlement instruction or as a commitment request related to a Settlement Instruction.	Document Release 1 and CDE Drop 1 includes transaction related holding locks for purpose of settlement, where applicable and for transactions in Release 1 only. This does not include Administrative Holding Locks (e.g. following a court order) which will follow in a subsequent release.

Internal System Features

Function	Description	Release Notes
Entities, Actors and Roles	Creation and management of entities, actors and roles in the system to define how a Participant can transact in the system.	These functions are managed by ASX Operational Staff and therefore there are no external facing functional specifications.
Issuers and Securities	Creation and management of Issuers and Securities.	These functions are managed by ASX Operational Staff and therefore there are no external facing functional specifications.
Reference Data	Definition of core reference data including eligible currencies and calendars.	These functions are managed by ASX Operational Staff and therefore there are no external facing functional specifications.

Messaging

Document	Description	Release Notes
ISO 20022 Technical Manual	Describes the structure and conventions of an ISO 20022 message. This document covers the business message collections, business message attributes, the business application header, elements, naming conventions, formats and tags. The ISO 20022 Cross Reference Guide, the ASX Proprietary Code List and ASX Error Code List are also included.	Document Release 1 includes all relevant sections except ISO Signing which will follow in a subsequent release.
ISO 20022 Usage Guidelines	Usage Guidelines (or schemas for each message) will be accessible from the SWIFT MyStandards web platform. Each guideline provides field definitions that include meanings, allowable data values, message samples and schemas.	Document Release 1 includes messages defined in the below section; "Messages in Scope for CDE Drop 1."
ISO 20022 SWIFT MyStandards User Guide	Guide to assist users to access the SWIFT MyStandards web platform and the CHESS replacement suite of usage guidelines. The guide will also provide information on how to access the associated readiness portal for sample message testing.	Document Release 1 includes a complete User Guide.
ISO 200222 Message Catalogue	Explains how to create financial messages to communicate with ASX. It covers new messaging standards, message scope, message purpose, message flows (UML diagrams), sender and receiver details and any message pre-requisites. Covers the functions released in the Functional Specifications.	Document Release 1 includes messages defined in below section; "Messages in Scope for CDE Drop 1."

Messages in Scope for CDE Drop 1

Business Message Collection	Message
Account Modification	Account Creation Request Account Status Advice Account Modification Request Party Creation Request Party Status Advice Delete Unassociated Parties Notification Party Modification Request Party Report
Holding Movement	Demand Transfer Request Demand Transfer Confirmation Securities Holding Confirmation Account Report Demand Transfer Status Advice Demand Transfer Allegement Notification Demand Transfer Cancellation Request Demand Transfer Cancellation Status Advice Demand Transfer Allegement Notification Cancellation
Settlement	Settlement Instruction Request Settlement Instruction Response Settlement Instruction Cancellation Request Settlement Instruction Cancellation Request Status Advice Settlement Instruction Status Advice Settlement Instruction Allegement Notification Bilateral Settlement Instruction Cancellation Withdrawal Request Bilateral Settlement Instruction Cancellation Withdrawal Response Settlement Instruction Update Request Settlement Instruction Update Status Advice Scheduled Settlement Lock or Unlock Request Scheduled Settlement Lock or Unlock Confirmation Settlement Instruction Cancellation Status Advice Demand Settlement Confirmation Settlement Instruction Allegement Notification Cancellation Bilateral Settlement Instruction Cancellation Withdrawal Notification
Common	Business Application Header (BAH) Invalid Transaction Rejected Transaction Notification

Connectivity

Document	Description	Release Notes
Connectivity Overview	Provides a high level summary of connectivity options including their transaction format, transport method, network and security. This section is intended to help users select which connectivity option(s) best suits their organisation.	Documentation Release 1 includes details for Direct ledger SWIFT AMQP Non-functional capabilities such as performance, final security model, failover and recovery are not included in this initial release.
Direct (node) integration	Documents how users can access and connect to the CSP application using the ledger API. This section introduces the concept of DAML, nodes as well as the streaming and transacting capabilities of direct connectivity.	Documentation Release 1 will include an initial security model using TLS (Transport Level Security). Direct Integration requires access to the Digital Asset DAML SDK. Non-functional capabilities such as performance, final security model, failover and recovery are not included in this release. ASX will host all node infrastructure. Details of the ODS (Operational Data Store) and ADS (Analytical Data Store) will be made available in a subsequent releases.
Advanced Messaging Queuing Protocol (AMQP)	Describes ASX's adoption of AMQP messaging, what's required to connect and communicate with the ASX, its architecture, features, transaction flows and use of ISO 20022.	Documentation Release 1 will include an initial security model using TLS (Transport Level Security). ISO 20022 signatures (if provided) will not be validated. Non-functional capabilities such as performance, final security model, failover and recovery are not included in this initial release.
SWIFT Connectivity	Specifies infrastructure components, technical considerations, what's required, message addressing, technical features and a message composition associated with SWIFTNet messaging.	ISO 20022 signatures (if provided) will not be validated. Non-functional capabilities such as performance, final security model, fail over and recovery are not included in this initial release.
Browser Connectivity	Outlines the purpose and function of the new browser connectivity option.	Not supported in Documentation Release 1. This will follow in subsequent releases.
FIX Connectivity	Outlines the purpose and function of the FIX Gateway connectivity option.	Not supported in Documentation Release 1. This will follow in subsequent releases.
ASX Net	Describes ASX Net connectivity and technical service details.	ASX Net is required for Direct Integration and AMQP options available in this release. Customers can also use the ASX Internet VPN service (IPSec VPN) to access CDE. Details relating to specific IP and port numbers will be released prior to the release of CDE.

Environments

Document	Description	Release Notes
Customer Development Environment (CDE)	Summarises the purpose and planned functionality of the Customer Development Environment (CDE).	Documentation Release 1 provides an overview of the CDE environment. Further details will be made available in subsequent releases.
Industry Wide Testing Environment (IWT)	Lists the key focus areas of the Industry Wide Testing Environment (IWT).	Not supported in this release.
Pre-Production Environment	Identifies the intent of the Pre-Production Environment.	Not supported in this release.

Testing

Document	Description	Release Notes
Customer Development Environment (CDE) Testing	Provides details on connectivity options, functionality and the sign-up process for the Customer Development Environment (CDE).	Application forms will be issued for Participants from Feb-2019 (for CDE Drop-1) onward in an iterative manner for various groups based on the functionality delivered for each CDE drop.

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_{This document provides general information only. ASX Limited (ABN 98 008 624 691) and its related bodies corporate (“ASX”) makes no representation or warranty with respect to the accuracy, reliability or completeness of the information. To the extent permitted by law, ASX and its employees, officers and contractors shall not be liable for any loss or damage arising in any way (including by way of negligence) from or in connection with any information provided or omitted or from anyone acting or refraining to act in reliance on this information.}

December 2018 - Documentation Release Notes