Content Pages

Introduction

The below documentation is ASX Settlement Procedure Guidelines (APG), dated November 2021. This documentation is specific to the the CHESS Replacement System.

Samples, Forms and Appendices will be made available in a subsequent release.

November Release entails updates to the following previously released section:

  • Section 02 - CHESS overview;

  • Section 03 - Participation in the settlement facility;

  • Section 04 - Account administration;

  • Section 08 - Market trade processing;

  • Section 11 - Corporate actions;

  • Section 22 - Issuer (registry) procedures; and

  • Section 23 - mFund settlement service.

Printing

ASX only publishes the APG electronically; it is available online at ASX CHESS Replacement Technical Documentation as online Confluence pages and Adobe Portable Document Format (PDF) documents. Previous versions will be collated in bulk sections, however to reduce the printing overheads and the management of multiple documents, this version will only update directly impacted sections.

The following sections have been updated. To ensure your paper version is up to date you will need to print and replace:

Sections

Updated / New

Further Assistance

If you have any questions about the ASX Settlement Procedure Guidelines (APG), please contact ASX Operations on 1300 300 289 who, if unable to assist you, will direct your query to the appropriate ASXS staff member.

Section 04 - Account administration

  • 4.1 - Establishing a CHESS Holder and allocating a HIN

  • 4.2 - Registration Name and Address Standards

    • 4.2.1 - Registration Concepts

    • 4.2.2 - Registered Name Standards

    • 4.2.3 - Permitted ASCII Characters per Field

    • 4.2.4 - Registration Address Standards

    • 4.2.5 - Communication Preference

  • 4.3 - Provision of Email Addresses

    • 4.3.1 - Email Address

    • 4.3.2 - Updates or Cancellation to an Email Address

  • 4.4 - Provision of Tax File Numbers (or TFN Exemption Codes) and Australian Business Numbers

    • 4.4.1 - Submitting TFNs, TFN Exemption Codes and ABNs for CHESS Holdings

    • 4.4.2 - Submitting TFNs, TFN Exemption Codes and ABNs for Transfers between Subregisters

  • 4.5 - Provision of Bank Account Details

    • 4.5.1 - Submitting Bank Account Details for CHESS Holdings

  • 4.6 - Issuer (Registry) Objection to Account (HIN) Registration Details

    • 4.6.1 - CHESS Account (HIN) Details

    • 4.6.2 - Issuer Sponsored Holdings

  • 4.7 - CHESS Account (HIN) Modification

    • 4.7.1 - ASX Expectations Regarding Authority to Change Account (HIN) Details

    • 4.7.2 - Supporting Documentation Requirements

    • 4.7.3 - Changing an Account (HIN)’s Registration Details but NOT Legal Title

    • 4.7.4 - Changing an Account (HIN)’s Registration Details AND Legal Title

    • 4.7.5 - Changing an Account (HIN)'s Type

  • 4.8 - Change of Controlling Participant for a CHESS Account (HIN)

    • 4.8.1 - Changing the Controlling Participant for One Account (HIN)

    • 4.8.2 - Changing the Controlling Participant for Multiple Accounts (HINs) (Bulk Movement)

    • 4.8.3 - Transferring a Holding across Participants

    • 4.8.4 - Controlling Participant Enquiries

  • 4.9 - Account and Holder Locking

    • 4.9.1 - Notification of a Deceased Holder

    • 4.9.2 - Death of an Individual Holder

    • 4.9.3 - Death of a Joint Holder

    • 4.9.4 - Notification of a Bankrupt Holder

    • 4.9.5 - Bankruptcy of an Individual Holder

    • 4.9.6 - Bankruptcy of a Joint Holder

    • 4.9.7 - Court Order

    • 4.9.8 - Non-specific

    • 4.9.9 - Processing an Account and Holder Lock

  • 4.10 - Account and Holder Unlocking

    • 4.10.1 Death of a Holder

    • 4.10.2 - Bankruptcy of a Holder

    • 4.10.3 - Court Order

    • 4.10.4 - Processing an Account and Holder Unlock

  • 4.11 Account and Holder Locking/Unlocking - Subregister Conversions

    • 4.11.1 Conversions due to Death

    • 4.11.2 Conversions due to Bankruptcy

    • 4.11.3 - Processing a Subregister Conversion due to a Death or Bankruptcy

  • 4.12 - Cancellation of Accounts (HINs)

Glossary Terms