CHANGES TO PORTFOLIO SPECIAL CROSSINGS REQUIREMENTS AND ETF SPECIAL TRADES REPORTING PROCEDURES

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1 ITS Circular 2009/030 Date: 22 December 2009 Key topics 1. Changes to Portfolio Special Crossing requirements 2. Changes to ETF Special Trade reporting procedures Reading List Client Advisers Compliance Managers DTR Operators Office Managers Market Participants Authorised By Colin R. Scully ASX contact Market Control Telephone ASX Ltd ABN Exchange Centre 20 Bridge Street Sydney NSW 2000 PO Box H224 Australia Square NSW 1215 Internet: CHANGES TO PORTFOLIO SPECIAL CROSSINGS REQUIREMENTS AND ETF SPECIAL TRADES REPORTING PROCEDURES The purpose of this circular is to advise DTRs that the existing Portfolio Special Crossing Rules will be expanded to cater for occasions when the ASX leg(s) of a Portfolio Special Crossing may form part of a broader international portfolio. It also includes changes to the transactional reporting requirements for an ASX Participant when reporting Portfolio Special Crossings and ETF Special Trades to ASX Market Control. 1. CHANGES TO PORTFOLIO SPECIAL CROSSING REQUIREMENTS The amendments to ASX Market Rule will allow a Portfolio Special Crossing to include trades in ASX Cash Market Products and also in equity securities traded on a market operated by a Recognised Stock Exchange. The remainder of the Portfolio Special Crossing Rule will continue to apply. Amendments have also been made to ASX Market Rule Procedure These amendments outline the transactional reporting requirements for an ASX Participant when reporting a Portfolio Special Crossing to ASX Market Control. For ease of understanding, the requirements have been split into the following sections: requirements for Portfolio Special Crossings which do not include transactions in equity securities on other exchanges; and requirements for Portfolio Special Crossings which include transactions in equity securities on other exchanges. A distinction is also made between the reporting requirements for Portfolio Special Crossings where: the Trading Participant acts as agent for both the buyer and seller; and the Trading Participant acts as Principal. An example follows, of the type of report to be ed to Market Control, where a Portfolio Special Crossing includes equity securities traded on a market operated by a Recognised Stock Exchange: Trading Participant ID: AU550 Total Consideration: A$10,379, ASX series ID / Recognised Stock International security Exchange ticker symbol or ISIN Quantity Price (in local traded currency) Exchange rate Consideration (AUD) Eg QAN ASX 113, , Eg SIA Singapore 84, , Exchange Eg CAL New York Stock 50, , Exchange (NYSE) No responsibility is accepted for any inaccuracies contained in the matter published. Cir No. 030 Changes to Portfolio Special Crossing requirements and ETF Special Trade reporting procedures Page 1 of 9

2 2. CHANGES TO ETF SPECIAL TRADE REPORTING PROCEDURES Separate amendments have also been made to ASX Market Rule Procedure These amendments have been made to more clearly specify the transactional reporting requirements for an ASX Participant when reporting an ETF Special Trade to ASX Market Control. GENERAL The effective date for the amendments to ASX Market Rule , ASX Market Rule Procedure and ASX Market Rule Procedure is 4 January Updated versions of ASX Market Rule , ASX Market Rule Procedures and are provided at Appendices A, B and C of this circular respectively. The current version of the ITS Workstation will support the new initiatives. There is no requirement to upgrade your Workstation to a new version. If you have any queries regarding the content of this circular, please contact Market Control via at or on / Cir No. 030 Changes to Portfolio Special Crossing requirements and ETF Special Trade reporting procedures Page 2 of 9

3 Appendix A ASX Market Rule SECTION 18 SPECIAL CROSSINGS CASH MARKET PRODUCTS 18.3 PORTFOLIO SPECIAL CROSSINGS AND SPECIAL CROSSINGS OF CASH ONLY COMBINATIONS What constitutes a Portfolio Special Crossing A Crossing of Cash Market Products and/or Equity Securities traded on a market operated by Recognised Stock Exchange is a Portfolio Special Crossing and may be effected by a Trading Participant as a Special Crossing if: the portfolio comprises a number of purchases and/or sales of different Cash Market Products and/or Equity Securities traded on a market operated by a Recognised Stock Exchange pursuant to a single agreement for an agreed price; the Trading Participant: (ii) acts as agent for both the buyer and seller of the portfolio; or as Principal (within the meaning of Rule 7.3.5) buys from or sells to the client, the portfolio; (d) there are at least the number of purchases and/or sales set out in the Procedures of different Cash Market Products and/or Equity Securities traded on a market operated by a Recognised Stock Exchange which have a consideration of not less than the amount set out in the Procedures, although additional purchases and/or sales of less than the amount set out in the Procedures may be included; and the total consideration for all purchases and/or sales making up the portfolio is not less than the amount set out in the Procedures. ASX may set out in the Procedures Cash Market Products and/or Equity Securities traded on a market operated by a Recognised Stock Exchange that cannot be included in a Portfolio Special Crossing. Introduced 11/03/04. Origin ASX Amended 28/11/05, XX/XX/XX Cir No. 030 Changes to Portfolio Special Crossing requirements and ETF Special Trade reporting procedures Page 3 of 9

4 Appendix B - ASX Market Rule Procedure PROCEDURE PROCEDURES FOR REPORTING The lodgement of information required under Rule must be performed via the trade reporting functionality on a Trading Platform unless otherwise reported automatically under Rule Trades reported via Trading Platform The following transactions must be reported to ASX through a Trading Platform by Trading Participants using the trade report function in conjunction with the relevant condition code in accordance with the directions set out below: Reporting of Portfolio Special Crossings which includes Cash Market Products only condition code SX Where a Trading Participant effects a Portfolio Special Crossing which includes Cash Market Products only in accordance with Rule 18.3 and the Trading Participant acts as an agent for both the buyer and seller in the Portfolio Special Crossing, the Trading Participant must: 21. Report the Portfolio Special Crossing to the Trading Platform in accordance with paragraph,, or (cd) below: if the Trading Participant acts as an agent for both the buyer and seller in the Portfolio Special Crossing and the Portfolio Special Crossing is effected during all Session States other than the CSPA, System Maintenance and Close Session States, the Trading Participant must immediately report the Portfolio Special Crossing to the Trading Platform in conjunction with the condition code SX; if the Trading Participant acts as an agent for both the buyer and seller in the Portfolio Special Crossing and the Portfolio Special Crossing is effected during the CSPA Session State, the Trading Participant must report the Portfolio Special Crossing to the Trading Platform immediately following the CSPA Session State in conjunction with the condition code SX; if the Trading Participant acts as an agent for both the buyer and seller in the Portfolio Special Crossing and the Portfolio Special Crossing is effected during the System Maintenance and Close Session States, the Trading Participant must report the Portfolio Special Crossing to the Trading Platform not later than 15 minutes prior to the scheduled commencement of Open Session State on the next Trading Day (or on the same Trading Day, if the transaction is effected between midnight and the commencement of Open Session State on the Trading Day) in conjunction with the condition code SX.; 12. Immediately advise Market Control via , or if that is unavailable, by facsimile, of the following details: (bf) the total portfolio consideration in Australian dollars; for each trade in the portfolio: (bi) the Cash Market Product the subject of each tradeidentifier; Cir No. 030 Changes to Portfolio Special Crossing requirements and ETF Special Trade reporting procedures Page 4 of 9

5 (cii) (iiid) (ive) the number of Cash Market Products traded; the price of each tradein local traded currency; the consideration of each tradein Australian dollars.; Where a Trading Participant effects a Portfolio Special Crossing which includes Cash Market Products only in accordance with Rule 18.3 and the Trading Participant acts as Principal, the Trading Participant must: 1. Immediately advise Market Control via , or if that is unavailable, by facsimile, of the following details: the Cash Market Product the subject of each trade. 2.(d)2. if the Trading Participant acts as Principal, the Trading Participant must rreport the Portfolio Special Crossing to the Trading Platform in conjunction with the condition code SX: (ia) (iib) not later than 15 minutes prior to the commencement of the Open Session State on the next Trading Day if the trade is effected before 1:00 PM on the previous Trading Day; or not later than 1:.00 PM on the next Trading Day if the trade is effected after 1:00 PM on the previous Trading Day. 3. Immediately after reporting the Portfolio Special Crossing to the Trading Platform as required in step 2 above, advise Market Control via , or if that is unavailable, by facsimile, of the following details: the total portfolio consideration in Australian dollars; for each trade in the portfolio: (ii) (iii) (vi) the Cash Market Product identifier; the number of Cash Market Products traded; the price in local traded currency; the consideration in Australian dollars. Reporting of Portfolio Special Crossings which includes both Cash Market Products and Equity Securities traded on a market operated by a Recognised Stock Exchange condition code SX Where a Trading Participant effects a Portfolio Special Crossing which includes both Cash Market Products and Equity Securities traded on a market operated by a Recognised Stock Exchange in accordance with Rule 18.3 and the Trading Participant acts as an agent for both the buyer and seller in the Portfolio Special Crossing, the Trading Participant must: 1. Report the Portfolio Special Crossing to the Trading Platform in accordance with paragraph, or below: Cir No. 030 Changes to Portfolio Special Crossing requirements and ETF Special Trade reporting procedures Page 5 of 9

6 if the Portfolio Special Crossing is effected during all Session States other than the CSPA, System Maintenance and Close Session States, the Trading Participant must immediately report the Portfolio Special Crossing to the Trading Platform in conjunction with the condition code SX; if the Portfolio Special Crossing is effected during the CSPA Session State, the Trading Participant must report the Portfolio Special Crossing to the Trading Platform immediately following the CSPA Session State in conjunction with the condition code SX; if the Portfolio Special Crossing is effected during the System Maintenance and Close Session States, the Trading Participant must report the Portfolio Special Crossing to the Trading Platform not later than 15 minutes prior to the scheduled commencement of Open Session State on the next Trading Day (or on the same Trading Day, if the transaction is effected between midnight and the commencement of Open Session State on the Trading Day) in conjunction with the condition code SX. For the avoidance of doubt, the time the portfolio is effected is the Sydney-equivalent time the portfolio was consummated in the originating country. 2. Immediately advise Market Control via , or if that is unavailable, by facsimile, of the following details: the total portfolio consideration in Australian dollars; for each trade in the portfolio: the Cash Market Product identifier for securities traded on the ASX Market or the ticker symbol/international securities identification number for Equity Securities traded on a market operated by a Recognised Stock Exchange; (ii) the Recognised Stock Exchange identifier as it appears in Procedure 2.10; (iii) (iv) (v) (vi) the number of Cash Market Products or Equity Securities traded; the price in local traded currency; the exchange rate; the consideration in Australian dollars. Where a Trading Participant effects a Portfolio Special Crossing which includes both Cash Market Products and Equity Securities traded on a market operated by a Recognised Stock Exchange in accordance with Rule 18.3 and the Trading Participant acts as Principal, the Trading Participant must: 1. Immediately advise Market Control via , or if that is unavailable, by facsimile, of the following details: the Cash Market Product identifier for securities traded on the ASX Market or the ticker symbol/international securities identification number for Equity Securities traded on a market operated by a Recognised Stock Exchange the subject of each trade. 2. Report the Portfolio Special Crossing to the Trading Platform in conjunction with the condition code SX: not later than 15 minutes prior to the commencement of the Open Session State on the next Trading Day if the trade is effected before 1:00 PM on the previous Trading Day; or Cir No. 030 Changes to Portfolio Special Crossing requirements and ETF Special Trade reporting procedures Page 6 of 9

7 not later than 1:00 PM on the next Trading Day if the trade is effected after 1:00 PM on the previous Trading Day. For the avoidance of doubt, the time the portfolio is effected is the Sydney-equivalent time the portfolio was consummated in the originating country. 3. Immediately after reporting the Portfolio Special Crossing to the Trading Platform as required in step 2 above, advise Market Control via , or if that is unavailable, by facsimile, of the following details: the total portfolio consideration in Australian dollars; for each trade in the portfolio: the Cash Market Product identifier for securities traded on the ASX Market or the ticker symbol/international securities identification number for Equity Securities traded on a market operated by a Recognised Stock Exchange; (ii) the Recognised Stock Exchange identifier as it appears in Procedure 2.10; (iii) (iv) (v) (vi) the number of Cash Market Products or Equity Securities traded; the price in local traded currency; the exchange rate; the consideration in Australian dollars. Cir No. 030 Changes to Portfolio Special Crossing requirements and ETF Special Trade reporting procedures Page 7 of 9

8 Appendix C - ASX Market Rule Procedure PROCEDURE NOTIFICATION TO ASX Where a Trading Participant effects an ETF Special Trade in accordance with Rule 16.5 and the Trading Participant acts as an agent for both the buyer and seller in the ETF Special Trade, the Trading Participant must: 21. Report the ETF Special ttrade to the Trading Platform in accordance with Procedure (2)paragraph, or (2) or below: if the ETF Special Trade is effected during all Session States other than the CSPA, System Maintenance and Close Session States, the Trading Participant must immediately report the ETF Special Trade to the Trading Platform in conjunction with the condition code ET; if the ETF Special Trade is effected during the CSPA Session State, the Trading Participant must report the ETF Special Trade to the Trading Platform immediately following the CSPA Session State in conjunction with the condition code ET; if the ETF Special Trade is effected during the System Maintenance and Close Session States, the Trading Participant must report the ETF Special Trade to the Trading Platform not later than 15 minutes prior to the scheduled commencement of Open Session State on the next Trading Day (or on the same Trading Day, if the transaction is effected between midnight and the commencement of Open Session State on the Trading Day) if the Trading Participant acts as agent for both buyer and seller in the ETF Special Trade, the Trading Participant must immediately report the ETF Special Trade and in conjunction with the Ccondition Ccode - ET.; if the Trading Participant acts as principal, the Trading Participant must report the ETF Special Trade in conjunction with the Condition Code - ET: (ii) not later than 15 minutes prior to the scheduled commencement of Open Session State on the next Trading Day if the trade is effected before 1:00 PM on the previous Trading Day or not later than 1:00 PM on the next Trading Day if the trade is effected after 1:00PM on the previous Trading Day. 12. Immediately advise Market Control once execution has taken place, via , or if that is unavailable, by facsimile, of the following details: (d1f) (e) the ETF Security the subject of the ETF Special Trade; the number of ETF Portfolios traded; the total ETF Special Trade consideration; and for each Security in the ETF Portfolio: (i1b) (ii1c) (iii1d) the Cash Market ProductSecurity the subject of each tradeidentifier; the number of Cash Market Products Securities traded; the price of each trade; Cir No. 030 Changes to Portfolio Special Crossing requirements and ETF Special Trade reporting procedures Page 8 of 9

9 (iv1e) the consideration of each trade.; Where a Trading Participant effects an ETF Special Trade in accordance with Rule 16.5 and the Trading Participant acts as Principal, the Trading Participant must: 1. Immediately notify Market Control upon agreement to issue or redeem into an ETF, via , or if that is unavailable, by facsimile, of the following details: the ETF Security the subject of the ETF Special Trade; the number of ETF Portfolios traded. 2. Report the ETF Special Trade to the Trading Platform in conjunction with the condition code ET: not later than 15 minutes prior to the scheduled commencement of Open Session State on the next Trading Day if the trade is effected before 1:00 PM on the previous Trading Day; or not later than 1:00 PM on the next Trading Day if the trade is effected after 1:00 PM on the previous Trading Day. 3. Immediately advise Market Control once execution has taken place, via , or if that is unavailable, by facsimile, of the following details: (d) (e) the ETF Security the subject of the ETF Special Trade; the number of ETF Portfolios traded; the total ETF Special Trade consideration; for each Security in the ETF Portfolio: (ii) (iii) (iv) the Security identifier; the number of Securities traded; the price of each trade; the consideration of each trade. Introduced 11/03/04 Amended 02/07/04, 28/11/05 Cir No. 030 Changes to Portfolio Special Crossing requirements and ETF Special Trade reporting procedures Page 9 of 9

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