Settlement Facilitation Service

Settlement Facilitation Service

Change RequestApplication Form

This form should be used byexisting or prospective Approved Listing Market Operators (ALMOs) (“Applicant”) requesting provision ofan enhancement to thestandard settlement facilitation service provided ASX Settlement Pty Limited ABN 49 008 504 532 (“ASX Settlement”). For example, the request may be for services beyond the scope of the ASX Settlement Operating Rules and/or the Settlement Facilitation Agreement.

How to Apply

The form is in three parts:

Part 1Details of Applicant

Part 2Change Request Details

Part 3Supporting Documentation

Attachments will form part of the application for the enhancement to the Settlement Facilitation Service. Applicants must complete all questions in this application.

Completed applications should be returned to ASX Settlement to the attention of:

Katie McDermott

General Manager Post Trade Issuer Services Operations

Australian Securities Exchange

PO Box RH224

Australia Square NSW 1215

The process and timeframes for ASX Settlement to consider and respond to requests for enhancedsettlement services by existing or prospective ALMOs are available here.

Part 1 – Details of Applicant

Name of Applicant:
Contact details (including name, phone number, email address):

Part 2 – Change Request Details

Summary of the change request:
Summary of the proposed or desired solution:
Rationale / business reason for the change:
Expected impact on the ASX Settlement Operating Rules:
Expected impact on the Settlement Facilitation Service Agreement:
Does the enhancement require any other change – e.g. regulatory or by other system providers:
Is there a date by which the change needs to be implemented:
Length of time required by ALMO to implement:
For example,for own changes, if any
Priority for the change – e.g. required or nice to have:
Optional question:
Any other impact / other comments:
For example, international precedence, customer feedback, any impact on information vendors, estimate of revenue opportunity to ALMO and/or ASX

Part 3 – Supporting Documentation

To assist ASX with its assessment of the change request, please attach to the application any supporting and explanatory documentation.

Checklist for completion and submission of application

Completed Change Request form

Supporting documentation

For ASX use only:

Date application received:
Workshop date:
Progress update:
Notification date regarding refusal or willingness to enhance:

ASX Settlement Pty Limited (ABN 49008 504 532) Change Request Application Form v. November 2015 1