JULY 2016 UPDATE TECHNOLOGY UPGRADE RELEASES The following technology upgrade releases are planned for the following 6 to 12 months. FUTURES (ASX24) MARKET New Trading Platform Q4 2016 Mandatory New Trading Platform The New Trading Platform project will deliver a replacement of ASX's primary trading platforms ASX Trade and ASX Trade24. ASX has partnered with Cinnober who will customise their TRADExpress product to be used as the combined platform for both markets. ASX Trade24 will be the first phase. Oct - Nov 2016 Oct - Nov 2016 Note: ASX has changed the go-live window for the replacement of ASX Trade24. ASX will provide customers and partners with a regular update on milestones. Project Update No: 06/16 Copyright 2016 ASX Limited ABN 98 008 624 691. All rights reserved 2016. 1
EQUITIES (ASX) MARKET New Trading Platform Mandatory New Trading Platform This release of the New Trading Platform will deliver the ASX Trade equities platform replacement as an extension to the existing ASX Trade24 replacement offering a combined platform for both the ASX and ASX 24 markets. No sooner than Feb 2017 No sooner than Feb 2017 Note: ASX has changed the go-live window for ASX Trade. ASX will provide customers and partners with a regular update on milestones. Project Update No: 06/16 CLEARING AND SETTLEMENT SERVICES CHESS Q3 2016 mfund Settlement Service (CHESS 9) The enhancement release includes: New CHESS message to allow distribution preferences to be updated through Sponsoring Participant. New CHESS messages from annual tax statements. A change to the structure of the current CHESS distribution statement message. Q3 2016 (Expected to be Aug/Sept) Q3 2016 (Expected to be Aug/Sept) Notice reference number: 0534.16.05 After consultation with mfund Issuers and PISPs, it has been determined not to proceed with the Regular Payment Copyright 2016 ASX Limited ABN 98 008 624 691. All rights reserved 2016. 2
Q1 2017 Plan (RPP) feature under CHESS 9. Informational ISIN Restructure Proposed changes to the methodology for allocating ISIN s issued by ASX over listed Equities and other products, through its role as a National Numbering Agency. Q1 2017 Q1 2017 Austraclear Q3 2016 ASX Austraclear - Multi Currency Securities (RMB) Changes to Austraclear to support the full depository and settlement services for fixed income securities denominated in Chinese Renminbi (RMB). 30 Jul 2016 1 Aug 2016 Q4 2016 ASX Collateral The existing ASX Collateral Management offering for fixed income securities in Austraclear will be extended to include a Tri-Party Securities Lending Service (securities as principal vs securities as collateral). Nov 2016 Nov 2016 Further enhancement to mobilise equities will be considered in conjunction with the initiative to replace CHESS. OTC Calypso Q4 2016 OTC Interest Rate Derivatives Clearing This release will deliver the following: Extend A$ product coverage, including Asset Swaps, BBSW vs AONIA Basis Swaps and longer BBSW 3m maturities Oct 2016 Oct 2016 Support MarkitWire Trade Division Q1 2017 Copyright 2016 ASX Limited ABN 98 008 624 691. All rights reserved 2016. 3
OTC Interest Rate Derivatives Clearing This release will deliver enhanced compression capabilities, Multilateral Compression and extended trading hours. Q1 2017 Q1 2017 Derivatives Clearing System (DCS) Q4 2016 Weekly & Serials The project aims at increasing the available expiries on existing ASX ETO products by listing Weekly XJO and top 10-15 single stock options for near month, and Serial month XJO s for first 6 months (from 3 months). This provides the opportunity for additional liquidity and will capture existing OTC ETO volumes that currently trade on more frequent expiry terms. 15 Oct 2016 17 Oct 2016 DIGITAL SERVICES ASX Online Q3 2016 ASX Online Participants and ALC The new ASX Online platform is now live. ASX is planning a number of enhancement releases and will notify Participants and Customers as necessary. Sep 2016 Sep 2016 ASX Mandatory Periods ASX mandatory releases require all users and vendors to amend their applications that directly connect to the relevant ASX service. ASX may require accreditation of each application either in entirety or to capture the scope of the mandatory change. Copyright 2016 ASX Limited ABN 98 008 624 691. All rights reserved 2016. 4
ASX generally plans to implement no more than two Mandatory s [per service] per calendar year. These releases will typically be around 6 months apart and may be scheduled to coincide with regulatory changes mandated by ASIC. ASX may also need to schedule a Mandatory in the case of a critical production fault. ASX may also implement one or more s during the year. An will not be scheduled within four weeks of a Mandatory. Terminology releases are incremental updates without the need for users to upgrade all applications at the same time. This release is voluntary and enables users to prioritise business objectives and allocate resources as required. Mandatory Mandatory releases are required to be implemented by all users and vendors to upgrade all applications. A mandatory release may comprise any change, including improvements and corrections to the messaging structure, logic (API in some instances) or content associated with the relevant system. Informational This is not a release, but more of an item to be noted. This functionality may potentially have an impact as it is a change to existing business processes. is the date the release is installed into production. may be disabled until. is the date when the functionality is enabled in production. Associated s ASX has an ongoing commitment to conduct disaster recovery testing across all ASX platforms. Refer to the ASX Continuity Management Testing Schedule on asx.com.au. COMMUNICATION Detailed documentation on the scope, technical specifications and projected timeframes for individual Mandatory and releases will be provided by ASX no later than 90 days prior to the implementation date (unless required to do otherwise by a regulator or regulatory obligation, or to resolve a critical production issue). ASX will confirm the date of each release by ASX Notice, generally at least two weeks prior to implementation (unless otherwise agreed with stakeholders). The trademarks listed below are trademarks of ASX. Where a mark is indicated as registered it is registered in Australia and may also be registered in other countries. Nothing contained in this document should be construed as being any licence or right to use of any trade mark contained within the document. ASX, CHESS, Austraclear, ASX Trade24, LEPO, ASX Trade Copyright 2016 ASX Limited ABN 98 008 624 691. All rights reserved 2016. 5