Listing Rules, Appendices, Procedures, Guidance Notes, Waivers, Miscellaneous

Rules
Appendices
Procedures
Guidance Notes
Waivers
Miscellaneous
 



Listing Rules

In accordance with the requirements of the Corporations Act, SSX has Operating Rules for its market. Its current Operating Rules comprise Listing Rules and Business Rules.

SSX has recently completed updates and revisions to its Listing Rules and these will take effect from 24 April 2017.

A full set of the current Listing Rules is available for download and print in PDF format. Full sets of the historical Listing Rules are available here for download and print in PDF format.

Each chapter of the SSX Listing Rules provided below:

Chapters Table of Contents  Get Adobe Acrobat Reader
1

Interpretation Rules

97K Download  Download  
2

Definitions

219K Download  Download  
3

Sponsors

217K Download  Download  
4

Admission As A Listee

242K Download  Download  
5

Quotation of Securities

166K Download  Download  
6

Rights and Obligations attached to Securities

184K Download  Download  
7

Constitutions

33K Download  Download  
8

Restrictions on New Issues of Securities

234K Download  Download  
9

Buy Back and Forfeiture

151K Download  Download  
10

Reorganisations

92K Download  Download  
11

Continuous Disclosure

91K Download  Download  
12

Other Continuing Obligations

265K Download  Download  
13

Compliance with and Enforcement of these Rules

149K Download  Download  
14

Trading Halts, Suspensions and Removals

97K Download  Download  
15

Financial Information

43K Download  Download  
16

Major Transactions

28K Download  Download  
17

Transactions with Related Parties

166K Download  Download  
18

Directors

96K Download  Download  
19

Meetings

118K Download  Download  
20

Transfers and Registration

102K Download  Download  
21

Restricted Securities

98K Download  Download  
22

Sanctions

80K Download  Download  
23

Rule Enforcement Proceedings-Sponsors

37K Download  Download  
24

Review Panel

43K Download  Download  
25

Fees

148K Download  Download  
26

General

230K Download  Download  
27

Additional Continuing Obligations for Oil and Gas Listees

257K Download  Download  
28

Additional Continuing obligations for mining listees

323K Download  Download  
29

Supervision of Related Listees by ASIC

92K Download  Download  



Appendices

Appendices Table of Contents  
3-1

Sponsor's Undertaking

34K Download  Download  
3-2

Sponsor's Confirmation of Independence

43K Download  Download  
3-3

Sponsor's Declaration

31K Download  Download  
4-1

Equity Securities Application and Agreement

230K Download  Download  
4-2

Fixed Interest Bearing Securities Application and Agreement

120K Download  Download  
4-3

Foreign Exempt Listing Application and Agreement

175K Download  Download  
5-1

Application for Quotation of Additional Securities and Agreement

53K Download  Download  
5-2

Declaration by Listee

36K Download  Download  
9-1

Announcement of Buy-Back

57K Download  Download  
9-2

Change Relating to Buy-Backs

35K Download  Download  
9-3

Daily Share Buy-Back Notice

39K Download  Download  
9-4

Final Share Buy-Back Notice

37K Download  Download  
12-1

Bonus Issue and Pro Rata Issue

69K Download  Download  
15-1

Half Year Report

69K Download  Download  
15-2

Full Year Indicative Financial Report

70K Download  Download  

15-3

Quarterly Cash Report
70K Download  Download  
18-1

Director's Declaration and Undertakings

61K Download  Download  

18-2

Initial Director's Interest Notice
80K Download  Download  
18-3

Change to Director's Interest Notice

73K Download  Download  

18-4

Final Director's Interest Notice
74K Download  Download  
21-1

Restriction Agreement

52K Download  Download  
21-2

Restrictions on Securities

63K Download  Download  

27-1

Oil & Gas Listees – Summary of Reserves and Resources
64K Download  Download  

28-1

Mining Listees – Summary of Reserves and Resources
62K Download  Download  


Procedures


Full sets of the historical Listing Rules Procedures are available here for download and print in PDF format.

Description  Get Adobe Acrobat Reader
Procedures
1.37MB Download  Download  



Guidance Notes

Below you will find a list of Guidance Notes which are available for download in PDF format.

Guidance Note Description  Get Adobe Acrobat Reader
1

Sponsor Framework

286K Download  Download  
2

Listing Applications - Equity Securities

472K Download  Download  
3

Continuous Disclosure

810K Download  Download  
4

Trading Halts and Voluntary Suspensions

309K Download  Download  
5

Disclosure Requirements for Oil & Gas Listees 

360K Download  Download  
6

Disclosure Requirements for Mining Listees 

332K Download  Download  
7

Removals from the Official List

332K Download  Download  
8

Emerging Market Listees

392K Download  Download  

9

Dual Language Disclosures
234K Download  Download  

10

Waivers and In-Principle Advice
234K Download  Download  

11

Restricted Securities Voluntary Escrow
234K Download  Download  
12

Listing Suitability

337K Download  Download  

 

USE OF GUIDANCE NOTES

Guidance Notes are issued by SSX to promote commercial certainty, to reduce regulatory and compliance costs to business and to assist market participants.  SSX is available to discuss any questions you may have in relation to a Guidance Note, and to do so you can contact SSX at info@ssx.sydney

SSX may replace Guidance Notes at any time.  All relevant entities should contact SSX to ensure that they have the latest version of a Guidance Note.  As a Guidance Note is only a guide to SSX policy, practice and interpretation, entities are advised to contact SSX to discuss their particular circumstances and the resultant application of the SSX Listing Rules. SSX cannot give legal advice to entities and recommends that entities consider taking advice from a qualified professional person.




Waivers

Below you will find a list of Waivers which are available for download in PDF format.

 

Waivers Description  Get Adobe Acrobat Reader
June 2017

Listing Rule Waivers Register

198K Download  Download  
May 2017

Listing Rule Waivers Register

198K Download  Download  
April 2017

Listing Rule Waivers Register

198K Download  Download  
March 2017

Listing Rule Waivers Register

198K Download  Download  
February 2017

Listing Rule Waivers Register

198K Download  Download  
January 2017

Listing Rule Waivers Register

198K Download  Download  


 2016
 

 2015
 
 
 2014
 

 




Miscellaneous

Below you will find a list of Miscellaneous available for download.

Miscellaneous Description  
1

Restricted Securities Table

141K Download  Download  
2

Terms and Conditions for access to and use of APXConnect®

161K Download  Download  
3

Guide to the Relevant Provisions of Corporations Act

285K Download  Download  
4

New Securities Deed Poll 

203K Download  Download