ASX Trade: Markets Participant and Trading Schedule of Fees

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Transcription:

ASX Trade: Markets Participant and Trading Schedule of Fees Effective Date: 01-Jul-2016

Contents ASX Trade: Markets Participant and Trading 1 Participation 1.1 Participant Application Fee 1.2 Participant Annual Fees 1.3 Participant fee for Late Lodgement 2 Cash Market Trading Fees 2.1 TradeMatch 2.2 Trade Reporting Facility (Refer to ASX Circular 472/12 for Condition Code details) 2.2.1 Trade Reporting Facility (Capped Fees) 2.2.2 Trade Reporting Facility (Uncapped Fees) 2.2.3 Unintentional Crossing Prevention 2.3 Auctions 2.4 Undisclosed 2.5 Centre Point 2.5.1 Standard 2.5.2 New User 2.6 Icebergs 2.7 PureMatch 3 DTR Fees 3.1 Trade Cancellation Fees 4 Listed Funds, Warrant & Strucutured Product Fees for Issuers 4.1 Application Fees 4.2 Turnover Fees 4.3 Annual Fees 4.4 Capacity Utilisation 4.5 ISIN Code 4.6 Warrant Fee Cap This Schedule of Fees sets out fees applicable to ASX Trade: Markets Participant and Trading, which are supplied by ASX Limited ABN 98 008 624 691. All fees are shown in Australian dollars. All fees are effective 01-Jul-2016 unless otherwise indicated and are subject to change from time to time. If you require further clarification please contact your ASX Account Manager or ASX Customer Service (telephone: 131 279) *GST exclusive prices are quoted in the Schedule of Fees applicable to ASX Trade: Markets Participant and Trading. Usually ASX Trade: Markets Participant and Trading services will be In certain situations, an otherwise taxable supply may be exempt from GST (for example, exports). However, ASX anticipates that ASX Trade: Markets Participant and Trading services will not purposes of GST and accordingly, GST inclusive prices will be charged for these services. Page: 1 of 7

ASX Trade: Markets Participant and Trading Product Service Basis Frequency Effective Date 1 Participation 1.1 Participant Application Fee 06500001 Participant Application Fee (ASX Market, ASX Clear & ASX Settlement Participant) On Application 1-Jul-11 $50,000.00 06500002 Participant Application Fee - Agency Broker On Application 1-Jul-11 $25,000.00 06500007 Participant Application Fee (ASX Market Participant) Principal Trader On Application 1-Jul-11 $25,000.00 06500003 Participant Application Fee (ASX Clear & ASX Settlement): General Clearing Participant On Application 1-Jul-11 $50,000.00 06500021 Participant Application Fee (ASX Clear & ASX Settlement): Direct Clearing Participant On Application 1-Jul-11 $25,000.00 02300740 ASX Settlement Participant Application Fee : Account Participant Application Fee On Application 1-Jul-11 $5,000.00 06500022 ASX Settlement Participant Application Fee : Specialist Participant Application Fee On Application 1-Jul-11 $5,000.00 06500023 ASX Settlement Participant Application Fee : General Participant Application Fee On Application 1-Jul-11 $10,000.00 1.2 Participant Annual Fees 06500050 ASX Market Participant: Market Participant which is a Trading Participant Annual 1-Jul-11 $2,500.00 06200351 Access to ASX Trade Annual 1-Jul-11 $5,000.00 06200351 Discount for access to ASX Trade as a Registered Market-Maker Annual 1-Jul-11 50 percent 06200353 ASX Clear Participant: General Clearing Participant Annual 1-Jul-11 $7,500.00 06200352 ASX Clear Participant: Direct Clearing Participant Annual 1-Jul-11 $5,000.00 06200354 ASX Settlement Participant: Account Settlement Participant Annual 1-Jul-11 $2,500.00 06200355 ASX Settlement Participant: General Settlement Participant Annual 1-Jul-11 $5,000.00 06200350 ASX Settlement Participant: Specialist Settlement Participant Annual 1-Jul-11 $2,500.00 1.3 Participant fee for Late Lodgement 06350005 Prudential Return: Late Lodgement Fee Per day for each Business Day a return is late On Occurrence 1-Jul-11 $100.00 2 Cash Market Trading Fees 2.1 TradeMatch Page: 2 of 7

Effective Product Service Basis Frequency Date 02900040 Equities Trade Fee (capped at $75 per trade, per side) 0.15 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.15 Basis Points 02900140 Warrants Trade Fee (capped at $75 per trade, per side) 02900240 Structured Product Trade Fee (capped at $75 per trade, per side) 02900340 Interest Rate Security Trade Fee (capped at $75 per trade, per side) 02900060 ETF Special Trade Fee (capped at $75 per trade, per side) 0.15 Basis Points Per ETF Portfolio, Capped at $75, plus GST Monthly 1-Jul-11 0.15 Basis Points 2.2 Trade Reporting Facility (Refer to ASX Circular 472/12 for Condition Code details) 2.2.1 Trade Reporting Facility (Capped Fees) 02900042 ASX Trade Reporting Facility Off-mkt (Capped) Equities Fee (capped at $75 per trade, per side) 0.04 Basis Points Per Trade Per Side, Capped at $75, plus GST), capped Monthly 1-Apr-13 0.04 Basis Points at $1,000 per participant per month 02900348 ASX NBBO Crossing Trade Reporting Facility (Capped) Equities Fee 0.04 Basis Points Per Trade Per Side, Capped at $75, plus GST), capped Monthly 1-Apr-13 0.04 Basis Points at $1,000 per participant per month 2.2.2 Trade Reporting Facility (Uncapped Fees) 02900346 ASX Centre Point Crossing Trade Reporting Facility (Uncapped) Interest Rate Securities Fee (capped at $75 per trade, per side) 0.15 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.15 Basis Points 02900047 ASX Centre Point Crossing Trade Reporting Facility (Uncapped) Equities Fee (capped at $75 per 0.15 Basis Points Per Trade Per Side, Capped at $75, plus GST trade, per side) Monthly 1-Jul-11 0.15 Basis Points 02900341 ASX Trade Reporting Facility On-Mkt (Uncapped) Interest Rate Securities Fee (capped at $75 0.15 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.15 Basis Points per trade, per side) 02900241 ASX Trade Reporting Facility On-Mkt (Uncapped) Structured Products Fee (capped at $75 per 0.15 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.15 Basis Points trade, per side) 02900141 ASX Trade Reporting Facility On-Mkt (Uncapped) Warrants Fee (capped at $75 per trade, per 0.15 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.15 Basis Points side) 02900041 ASX Trade Reporting Facility On-Mkt (Uncapped) Equities Fee (capped at $75 per trade, per 0.10 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.10 Basis Points side) 02900342 ASX Trade Reporting Facility Off-mkt (Uncapped) Interest Rate Securities Fee (capped at $75 0.075 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.075 Basis Points per trade, per side) 02900242 ASX Trade Reporting Facility Off-mkt (Uncapped) Structured Products Fee (capped at $75 per 0.075 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.075 Basis Points trade, per side) 02900142 ASX Trade Reporting Facility Off-mkt (Uncapped) Warrants Fee (capped at $75 per trade, per 0.075 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.075 Basis Points side) 2.2.3 Unintentional Crossing Prevention 02900366 Unintentional Crossing Prevention Booking Report 0.10 Basis Points per Trade Per Side, Capped at $75, plus GST Monthly 1-Apr-13 0.10 Basis Points 2.3 Auctions 02900043 Equities Auction Trade Fee (capped at $75 per trade, per side) 0.28 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.28 Basis Points 02900143 Warrants Auction Trade Fee (capped at $75 per trade, per side) Page: 3 of 7

Effective Product Service Basis Frequency Date 02900243 Structured Products Auction Trade Fee (capped at $75 per trade, per side) 02900343 Interest Rate Securities Auction Trade Fee (capped at $75 per trade, per side) 2.4 Undisclosed 02900044 Equities Undisclosed Trade Fee Monthly 1-Jul-11 0.50 Basis Points 02900344 Interest Rate Securities Undisclosed Trade Fee Monthly 1-Jul-11 0.50 Basis Points 2.5 Centre Point 2.5.1 Standard 02900046 Equities Centre Point Trade Fee Monthly 1-Jul-11 0.50 Basis Points 02900345 Interest Rate Securities Centre Point Trade Fee Monthly 1-Jul-11 0.50 Basis Points 02900352 Equities Centre Point Block Trade Fee Minimum Acceptable Quantity Monthly 1-Jul-12 0.50 Basis Points 02900355 Interest Rate Securities Centre Point Block Trade Fee Minimum Acceptable Quantity Monthly 1-Jul-12 0.50 Basis Points 02900364 Equities Preferenced Centre Point Trade Fee - Standard User 0.40 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.40 Basis Points 02900371 Interest Rate Securities Preferenced Centre Point Trade Fee - Standard User 0.40 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.40 Basis Points 02900373 Centre Point Sweep TradeMatch Trade Fee - Standard User 0.15 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.15 Basis Points 02900374 Interest Rate Securities Sweep TradeMatch Trade Fee - Standard User 0.15 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.15 Basis Points 2.5.2 New User 02900362 Equities Centre Point Trade Fee - New User 0.30 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.30 Basis Points 02900369 Interest Rate Securities Centre Point Trade Fee - New User 0.30 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.30 Basis Points 02900363 Equities Centre Point Block Trade Fee - New User 0.30 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.30 Basis Points 02900370 Interest Rate Securities Centre Point Block Trade Fee - New User 0.30 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.30 Basis Points 02900365 Equities Preferenced Centre Point Trade Fee - New User 0.25 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.25 Basis Points 02900372 Interest Rate Securities Preferenced Centre Point Trade Fee - New User 0.25 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.25 Basis Points 02900360 Equities Sweep Centre Point Trade Free - New User 0.20 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.20 Basis Points 02900367 Interest Rate Securities Sweep Centre Point Trade Fee - New User 0.20 Basis Points Per Trade Per Side, plus GST Monthly 1-Apr-13 0.20 Basis Points Page: 4 of 7

Effective Product Service Basis Frequency Date 02900361 Equities Centre Point Sweep TradeMatch Trade Fee - New User 0.12 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Apr-13 0.12 Basis Points 02900368 Interest Rate Securities Sweep TradeMatch Trade Fee - New User 0.12 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Apr-13 0.12 Basis Points 2.6 Icebergs 02900049 Equities Iceberg Trade Fee 0.28 Basis Points Per Trade Per Side, Capped at $75, plus GST Monthly 1-Jul-11 0.28 Basis Points 02900144 Warrants Iceberg Trade Fee 0.31 Basis Points Per Trade Per Side, Capped at $75, plus GST 02900244 Structured Products Iceberg Trade Fee 0.31 Basis Points Per Trade Per Side, Capped at $75, plus GST 02900347 Interest Rate Securities Iceberg Trade Fee 0.31 Basis Points Per Trade Per Side, Capped at $75, plus GST 2.7 PureMatch 02900400 PureMatch Trade Fee (Passive) 0.15 basis points (bps) for passive liquidity (resting orders) reduced to Monthly 28-Nov-11 0.15 Basis Points 0.05bps for Participants reaching volume qualification thresholds. 02900401 PureMatch Trade Fee (Aggressive) 0.15bps for aggressive liquidity (orders matching with resting orders). Monthly 28-Nov-11 0.15 Basis Points 3 DTR Fees 02900000 DTR (Designated Trading Representative) Fee Payable for each DTR Per DTR per trading number Monthly 1-Jul-11 $25.00 05600320 DTR Training - 3 sessions This fee covers 3 face-to-face training sessions Per 3 90 minute Sessions Monthly 1-Jul-11 $240.00 05600325 DTR Training - Additional Hours This fee covers any additional face-to-face DTR training Per Hour Monthly 1-Jul-11 $120.00 requested. 05600330 DTR Exam Fee Per Attempt Monthly 1-Jul-11 $90.00 3.1 Trade Cancellation Fees 06200193 Cancellation of Trade(s) in Equity Derivatives Products at or within the QCR per order capped at 5 orders Monthly 31-Oct-11 $250.00 06200194 Cancellation of Trade(s) in Equity Derivatives Products at or within the ECR per order capped at 5 orders Monthly 31-Oct-11 $1,500.00 06200191 Cancellation of Trade(s) in Cash Market Products at or within the QCR per order capped at 5 orders Monthly 31-Oct-11 $1,500.00 06200192 Cancellation of Trade(s) in Cash Market Products at or within the ECR per order capped at 5 orders Monthly 31-Oct-11 $1,500.00 4 Listed Funds, Warrant & Strucutured Product Fees for Issuers 06250013 ISIN Code Creation fee Per ISIN, unlisted, unquoted securities, non CHESS eligible securities On Creation 1-Nov-14 $100.00 4.1 Application Fees 06250002 New Fund or Structured Product Issuer Per new issuer On Application 1-Jul-15 $14,500.00 02700211 New products or products with substantially different terms from other Warrants issued by that Warrant-Issuer For the first Warrant-Series On Application 1-Jul-11 $10,000.00 Page: 5 of 7

Effective Product Service Basis Frequency Date 02700215 Existing Warrant-Issuer - existing products For the review of the disclosure document On Application 1-Jul-11 $500.00 06250019 Existing Warrant-Issuer - existing products - ASX PDS disclosure For each Warrant Series in the Application On Application 1-Jul-15 $50.00 02700221 Warrant-Issuer - new products or products with substantially different terms from other Warrants Research, education and promotion fee per Warrant-Series ## On Application 1-Jul-11 $250.00 issued by that Warrant-Issuer currently suspended, subject to periodic review 06250003 Existing Structured Product issuer with new Structured Product on Quote Display Board Per new Structured Product (Quote Display Board) series. Capped at 100 On Application 1-Jul-11 $500.00 products per type 06250004 Existing Structured Product issuer with new Structured Product Per new Structured Product (Trading Market) On Application 1-Jul-12 $500.00 06250005 Existing Fund issuer with new Fund Per new Funds series; either (Trading Market or Quote Display Board) On Application 1-Jul-12 $5,000.00 4.2 Turnover Fees 02700222 Warrants (Trading Market) 0.05% of premium traded capped at a maximum of $10,000 per Warrant- Monthly 1-Jan-16 5 Basis Points Series commencing from the first date of quotation 06250006 Structured Products (Trading Market) 0.10% of premium traded for series, capped at $10,000, from the first date Monthly 1-Jul-11 10 Basis Points of quotation 4.3 Annual Fees 06250012 Funds (Trading Market) Funds Under Management 1-4 Fund Up to $100m $100m to $500m $500m to $1,000m $1,000m to $2,000m Over $2,000m 06250011 Funds (Trading Market) Funds Under Management 5-9 Fund Up to $500m $500m to $1,000m $1,000m to $2,000m $2,000m to $5,000m Over $5,000m 06250010 Funds (Trading Market) Funds Under Management 10+ Funds Up to $1,000m $1,000m to $2,000m $2,000m to $5,000m $5,000m to $10,000m Over $10,000m 06250009 Funds (Quote Display Board) Funds Under Management <$50m FUM $50m to $100m $100m to $200m $200m to $500m $500m plus Annual listing Fees 3.18 bps of FUM <$100m $31,800 + 2.27 bps of FUM >$100m $122,600 + 1.82 bps of FUM >$500m $213,600 + 1.36 bps of FUM >$1,000m $349,600 + 0.68 bps of FUM >$2,000m Annual listing fee 1.82 bps of FUM under $500m $91,000 + 1.36 bps of FUM >$500m $159,000 + 1.14 bps of FUM >$1,000m $273,000 + 0.68 bps of FUM >$2,000m $477,000 + 0.23 bps of FUM >$5,000m Annual listing fee 1.36 bps of FUM under $1,000m $136,000 + 0.91 bps of FUM >$1,000m $227,000 + 0.45 bps of FUM >$2,000m $362,000 + 0.23 bps of FUM >$5,000m $477,000 + 0.09 bps of FUM >$10,000m Annual listing fee $2,000 per Fund p.a. $4,000 per Fund p.a. $6,000 per Fund p.a. $8,000 per Fund p.a. $10,000 per Fund p.a. Quarterly 1-Jul-16 Refer to Basis column Quarterly 1-Jul-16 Refer to Basis column Quarterly 1-Jul-16 Refer to Basis column Quarterly 1-Jul-11 Refer to Basis column 06250008 Structured Products (Quote Display Board) Per product capped at 100 products per type Quarterly 1-Jul-11 $500.00 Page: 6 of 7

Product Service Basis Frequency Effective Date 4.4 Capacity Utilisation 06250014 Listing Capacity Utilisation Fee For each series with a First Listing Date of 1 July 2009 or later, that has Monthly 1-Jul-11 $83.33 <$1,000 billable trade in the last three calendar months and also has an Order Book (OB) change average of >1000 changes per day in ITS 4.5 ISIN Code 06250013 ISIN Code Creation fee Per ISIN, unlisted, unquoted securities, non CHESS eligible securities On Creation 1-Nov-14 $100.00 4.6 Warrant Fee Cap 02700226 Issuer Warrant Fee Cap Issuer warrant product fees capped at $500,000 per financial year Monthly 1-Jan-16 $500,000.00 (Product codes 02700211, 02700215, 06250019, 02700222) Page: 7 of 7

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