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  • How to become an APX Market Participant
    a Market Participant Business Rules Notices Fees Markets and Supervision Markets Supervision Trading on APX Settlement Complaints APX Framework Consultations and Amendments About APX About APX APX History Our Strategy Board of Directors Careers at APX News Newsletter Contact Us You are here Home Market Participants How to become a Market Participant Market Participants Who are APX s Market Participants Benefits of being a Market Participant How to become a Market Participant Business Rules Notices Fees How to become a Market Participant It is encouraged that before an application is lodged that you discuss your application for admission as an APX Registered market participant with the APX Business Development Department The pre application discussion will clarify the admission requirements for APX market participants the application process and your ongoing requirements as a new APX Registered market participant For more information please contact info apx com au APX market participant Application and Agreement Application Process Once discussions have been held with the APX Business Development Department new applicants are required to complete and submit the relevant application forms for admission as a new APX market participant These include a Settlement Agreement form as well as a market participant application form and

    Original URL path: http://www.apx.com.au/APX/Public/EN/Market_Participants/How_to_become_a_Market_Participant.aspx (2015-10-07)
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  • Business Rules
    Rules comprise Listing Rules and Business Rules The new APX Business Rules took effect from 9 March 2015 There follows details of each chapter of the current APX Business Rules A full set of the current Business Rules is available for download and print in PDF format Full sets of the historical Business Rules are available here for download and print in PDF format There follows details of each chapter of the current APX Business Rules Chapters Table of Contents Get Adobe Acrobat Reader 1 Interpretation Rules 92K Download 2 Definitions 153K Download 3 Admission As A Market Participant 33K Download 4 Ongoing Obligations 79K Download 5 Trading Rules 132K Download 6 Client Relationships 77K Download 7 Delivery and Settlement 49K Download 8 Settlement Agents 102K Download 9 Compensation Arrangements 122K Download 10 Monitoring Surveillance and Regulation and Regulation of Market Participant Activities 91K Download 11 Rule Enforcement Proceedings Market Participant 99K Download 12 Disputes Between Market Participants 28K Download 13 Review Panel 40K Download 14 Supervision of A Market Participant By ASIC 83K Download 15 General 58K Download Annexure 1 Client Disclosure Document Minimum Terms 150K Download Procedures F ull sets of the historical Business Rules Procedures are available here for download and print in PDF format Description Get Adobe Acrobat Reader Procedures 848K Download Guidance Notes B elow you will find a list of Guidance Notes which are available for download in PDF format Guidance Description Get Adobe Acrobat Reader 1 Removal and Rejection of Orders 348K Download 2 Circuit Breakers 448K Download Waivers Below you will find a list of Waivers which are available for download in PDF format 2015 Waivers Description Get Adobe Acrobat Reader September 2015 APX Business Rule Waivers Register 176K Download August 2015 APX Business Rule Waivers Register 176K Download July 2015 APX

    Original URL path: http://www.apx.com.au/APX/Public/EN/Market_Participants/Business_Rules.aspx (2015-10-07)
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  • Notices
    Circular Admission Download 23 01 2015 LN20150001 Listee notice Public Consultation APX Listing Rule Amendments Mining and Oil Gas Sector Download 10 12 2014 LN20140007 Listee notice Miscellaneous Operating Rule Amendments Download 01 09 2014 LN20140006 Listee notice Publication Guidance Notes and Ch 15 Appendixes Download 30 04 2014 LN20140005 Listee notice Public Consultation APX Listing Rule Amendments Guidance Notes Download 20 03 2014 LN20140004 Listee notice End of daylight saving 2014 Download 19 03 2014 LN20140003 Listee notice APX Amendments relating to Corporate Actions Download 04 03 2014 APXN000002 8ZH Listee notice Admission Download 04 03 2014 APXN000001 8SA Listee notice Admission Download All the Market Notices are available here for download and print in PDF format DATE NOTICE NO NOTICE DESCRIPTION DOWNLOAD 25 09 2015 MN20150012 Begining of Daylight Saving Download 20 07 2015 MN20150011 APX Removal of BBY Limited as APX Market Participant Download 03 06 2015 MN20150010 APX Approach to 2015 International Leap Second Download 18 05 2015 MN20150009 APX Suspension of BBY Limited s Trading Permission Download 01 04 2015 MN20150008 Transition to T 2 Download 30 03 2015 MN20150007 End of day light saving 2015 Download 09 03 2015 MN20150006 APX confirms successful migration to new trading system Download 06 03 2015 MN20150005 APX Guidance Notes Download 06 03 2015 MN20150004 APX Business Rules Business Rule Procedure and APX Listing Rule Procedure Amendments Download 06 03 2015 MN20150003 Migration to new Trading System on weekend of 7 and 8 March 2015 Download 18 02 2015 MN20150002 Update on transition to new APeX trading platform Download 23 01 2015 MN20150001 Launch Plan for new APeX trading platform Download 10 12 2014 MN20140015 Miscellaneous Amendments APX Listing Rules APX Listing Rule Procedures APX Business Rules APX Business Rule Procedures Download 09 12 2014 MN20140014 APX Market

    Original URL path: http://www.apx.com.au/APX/Public/EN/Market_Participants/Notices.aspx (2015-10-07)
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  • Fees
    Participant Business Rules Notices Fees Markets and Supervision Markets Supervision Trading on APX Settlement Complaints APX Framework Consultations and Amendments About APX About APX APX History Our Strategy Board of Directors Careers at APX News Newsletter Contact Us You are here Home Market Participants Fees Market Participants Who are APX s Market Participants Benefits of being a Market Participant How to become a Market Participant Business Rules Notices Fees Fees

    Original URL path: http://www.apx.com.au/APX/Public/EN/Market_Participants/Fees.aspx (2015-10-07)
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  • Markets Supervision
    and Amendments About APX About APX APX History Our Strategy Board of Directors Careers at APX News Newsletter Contact Us You are here Home Markets and Supervision Markets Supervision Markets and Supervision Markets Supervision Trading on APX Settlement Complaints APX Framework Consultations and Amendments Markets Supervision Supervision of the APX Market The Australian Securities and Investments Commission ASIC is the regulatory body of Australian market operators such as APX and Australian Financial Services Licensees such as stockbrokers ASIC is responsible for the supervision of real time trading on APX through ASIC Market Integrity Rules APX Market 2010 for enforcing the laws against listed companies and stockbrokers on the APX market pursuant to Corporations Act and other regulatory regime APX has market supervision procedures and policies in place to ensure it fulfills its obligation to ensure a fair orderly and transparent market is maintained at all times Our Supervision Department monitors and enforces compliance with our Listing Rules and Business Rules by participants of the APX market APX has the right to waive compliance with its Listing Rules or Business Rules An important aspect of the APX framework is its ability to update its supervisory practices quickly and efficiently to adapt to changing market and compliance environments APX has arrangements in place to identify and deal with conflicts between the commercial interests of APX and its obligation to do all things reasonably practicable to ensure a fair orderly and transparent market These include transparent decision making processes and conflict management plan APX Market Supervision Compliance Committee MSCC The Market Supervision Compliance Committee MSCC has been set up by APX to provide a body which is independent of the Board to review APX s ongoing supervision of its market and compliance with the terms of its market operator s license Its members

    Original URL path: http://www.apx.com.au/APX/Public/EN/Markets_and_Supervision/Markets_Supervision.aspx (2015-10-07)
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  • Trading on APX
    26 January CLOSED No Settlement NO Labour Day Eight Hours Day VIC TAS Adelaide Cup Canberra Day SA ACT Monday 9 March OPEN No Settlement YES Good Friday Friday 3 April CLOSED No Settlement NO Easter Monday Monday 6 April CLOSED No Settlement NO Queen s Birthday All except WA Monday 8 June CLOSED No Settlement NO Bank Holiday Picnic Day NSW NT Monday 3 August OPEN No Settlement YES Labour Day NSW QLD SA ACT Monday 5 October OPEN No Settlement YES Melbourne Cup Day VIC Tuesday 3 November OPEN No Settlement YES Last Business Day before Christmas Day Thursday 24 December CLOSE EARLY 3 Settlement YES Christmas Day Friday 25 December CLOSED No Settlement NO Boxing Day Monday 28 December CLOSED No Settlement NO Last Business Day of the Year Thursday 31 December CLOSE EARLY 4 Settlement YES 1 A Trading Day means APX is open for trading 2 Business Day is a day that is not a Saturday Sunday New Year s Day Australia Day ANZAC Day Good Friday Easter Monday Christmas Day Boxing Day and any other day that APX notifies market participants is not a business day 3 Normal trading ceases at 14 10 Sydney time 4 Normal trading ceases at 14 10 Sydney time APX reserves the right to declare additional days as Non Business Days or to alter days previously declared as Non Business Days at any time The following types of orders may be placed in the APX market Order type Description Limit Order An order to buy or sell a security in full or part at a specified or better price until expiry as set out below Day valid for execution until the end of the trading day on which it was submitted Good till Cancelled valid for execution until cancelled purged automatically for being within the Extreme Trade Range purged automatically owing to a change in the basis of quotation or purged automatically at the end of the 365th calendar day after it was last amended whichever is the earlier Good till Date valid for execution until cancelled or until the Closed trading session on a specified date purged automatically for being within the Extreme Trade Range purged automatically owing to a change in the basis of quotation or purged automatically at the end of the 365th calendar day after it was last amended whichever is the earlier Good till Time valid for execution until cancelled or until the specified time on a specified date purged automatically for being within the Extreme Trade Range purged automatically owing to a change in the basis of quotation or purged automatically at the end of the 365th calendar day after it was last amended whichever is the earlier Immediate valid for full or partial execution immediately If there is not enough available quantity to satisfy the total requested quantity the trading platform partially deals the order and drops the remainder Market Order An order to buy or sell a security as soon as

    Original URL path: http://www.apx.com.au/APX/Public/EN/Markets_and_Supervision/Trading_on_APX.aspx (2015-10-07)
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  • Settlement
    Supervision Markets Supervision Trading on APX Settlement Complaints APX Framework Consultations and Amendments About APX About APX APX History Our Strategy Board of Directors Careers at APX News Newsletter Contact Us You are here Home Markets and Supervision Settlement Markets and Supervision Markets Supervision Trading on APX Settlement Complaints APX Framework Consultations and Amendments Settlement Settlement of trades on APX In order to maximize the efficiency of trading on APX

    Original URL path: http://www.apx.com.au/APX/Public/EN/Markets_and_Supervision/Settlement.aspx (2015-10-07)
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  • Complaints
    Limited in accordance with the ASXS Settlement Rules The transfer and registration of ownership is also done between Market Participants and APX listees via the CHESS system operated by ASX Settlement Pty Limited in accordance with the ASXS Settlement Rules Complaints Listees If you have a complaint about an APX listee and it relates to a matter set out in the APX Listing Rules please write to APX Supervision Level 16 Central Square 323 Castlereagh Street Sydney NSW 2000 or set out in the Corporations Act please write to ASIC as set out on the ASIC website Sponsors If you have a complaint about an APX sponsor and it relates to a matter set out in the APX Listing Rules please write to APX Supervision Level 16 Central Square 323 Castlereagh Street Sydney NSW 2000 Participants If you have a complaint about a Market Participant being an APX Participant and it relates to a matter set out in the APX Business Rules please write to APX Supervision Level 16 Central Square 323 Castlereagh Street Sydney NSW 2000 or set out in the Corporations Act or the ASIC Market Integrity Rules APX Market please write to ASIC as set out on the ASIC website If you have a complaint about a Market Participant being an APX Participant for which you are seeking financial compensation you should initially liaise with that Market Participant They are obliged to address your complaints and to advise you how to escalate matters if you remain dissatisfied for example you may contact the Financial Ombudsman Service APX has established and maintained investor compensation arrangements in accordance with Part 7 5 Division 3 of the Corporations Act the APX Compensation Arrangements The circumstances in which compensation is payable in accordance with the APX Compensation Arrangements are set out

    Original URL path: http://www.apx.com.au/APX/Public/EN/Markets_and_Supervision/Complaints.aspx (2015-10-07)
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