ASX TradeAccept User Manual - Australian Securities Exchange
Contents
1. When updating the buy sell firm of a block trade error 93003001 occurs When updating the buy sell firm of a block trade the page will display a loading symbol and refresh itself Please do not press the Enter key as this will interrupt the page refresh and cause an error If my firm is both seller and buyer why can t enter the buy client details immediately for EFP and Telephone trades The system has been designed in such a way that the same workflow steps must be observed whether buyer and seller are the same or a different firm Can submit a trade on a public holiday The system will not accept trades for days that are holidays in the ASX Trade 24 Trading Calendar It also checks the market trade date when the user submits the trade in case the market for the Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 29 ASX Limited C 2 9 Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved ASX TradeAccept User Manual V1 2 particular instrument being traded has a special holiday in addition to the ASX Trade 24 Trading Calendar have been editing or viewing a trade and then encounter a message saying Error Access Denied when submit changes This error may be encountered when the user s access is modified while they are using the system Please try to log in again and contact your Participant Administrator User if this is not successful Disclaimer This document provide2. ASX ASX TradeAccept User Manual Off Market Trade Reporting System EMd EM ESI ES FGF FL prr ASX Limited ASX TradeAccept User Manual V1 2 Table of Contents As ANWRODUC TION 2255s she ose Ne stk tse hr Ce A rk eon 4 1 1 WHO IS THIS USER MANUAL FOR cc cccccccocccoeccccececesccesscesscccceecessceessesessessesusssseceeeceasesecssrsvcssecetesereeees 4 2 1 SYSTEM SETUP iron a Lutva saved aim a re hidraiasd E a avareerarid hike 5 2 2 ADMINISTRATOR SETUP aiaee sivawter delves L a EE ATE sani alas dadinee 5 2 3 PARTICIPANT CLIENT USER SETUP t o jasvavesun oari a aa e E G 5 2 4 ACCESSING ASX TRADEACCEPT 2 5 SESSION TIMEOUT oriit a nea a a a 2 6 CHANGING YOUR PASSWORD teata aa A a a a sald ak taint a ed a 3 ADMINISTRATION FUNCTIONALITIES 3 1 SEARCH FOR USERS escececeseeseseeeeeeeetenees 3 2 GREATING A NEW USER 42 20 Steere nh E E ala shellac tal alah la etaccel ek Mess 3 3 EDITING USER ve vaswereivy sineeicnis ninvenwe n T TE EE O i 4 TRADING FUNCTIONALITIES cscssesscssesssssssscesnsssssesesssesensaceessaceenssnsemssnesnesssiesassesnes essa aceensaceensaneeees 4 1 BLOCK TRADES ciii paea aaa aa aa ito eer alee tie 4 1 1 Block Trade Registration Process 4 1 1 1 Creating a Block Trade 0 cst 4 1 1 2 Seller Approval of a Block Trade 0 ccseeeeeeeee 4 1 1 3 Buyer Submission of a Block Trade 4 1 1 4 Buyer Approval of a Block Trade 4 2 EFP TRADES ketani atia e norm oleae
3. Enter details about the future See below the data required for each type 5 Bond EFP e Settlement Date e Market Yield e Face Value e Type of Security e Coupon Rate e Coupon Frequency e Security Details e Maturity Date Swap EFP e Start Date e Maturity Date e Face Value e Floating Rate e Fixed Rate e Frequency e ASX Cleared Other EFP e Face Value e Commodity Details SPI v XJO e Average Delta Value e XJO legs up to four Enter the first leg by filling in the empty fields next to Leg Number 1 Add any additional legs by filling in the fields next to New Leg and clicking on the sign e The following fields apply e ASX Trade Slip Number e Price e Strike Price Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 13 ASX Limited ASX TradeAccept User Manual V1 2 Action Description Status e Volume e Expiry Year e Expiry Month e Put Call To remove a leg click on the red cross next to the appropriate leg Note The Buy Client field will by automatically populated with the contents of the futures Sell Client field SPI v Basket The basket is entered in a CSV file with the following columns e Stock Code e Price e Volume A template can be downloaded by clicking on Download Template Use Browse to select the file to be uploaded from your computer Once selected click on Upload to load the file into ASX TradeAccept Review
4. eave EAr Oea titi aren arene ere 4 2 1 Creating Submitting and Approving EFP Trades sess ssessisesssrresssrreessrrensnrrensnrreesnrreesnrreenrne 421i Creating an BFP isc toscctn e in metas ia 42 1 1 Seller Approval of an EFP 4 2 1 2 Buyer Submission of an EFP 4 2 1 1 Buyer Approval of an EFP eee 4 2 2 Bulk Uploading EPPS rreson a O a e a a 4 2 2 1 Uploading a Bond EFP File ccee 4 2 2 1 Uploading a Swap EFP File 4 3 TELEPHONE TRADES i a a a a GN 4 3 1 How to Create Submit and Approve cecccccccceccesesscsescseseseseesceesscsesneececeasansesaceteesasensseseeesanees 4 3 1 1 Creating Submitting and Approving Telephone Trades 4 3 1 2 Seller Approval of a Telephone Trade c ceccecseseeseceesesesseseeeeeaesneeeeansacensansaeeneansaeessansaeeesenseetetens 4 3 1 3 Buyer Submission of a Telephone Trade 4 3 1 4 Buyer Approval of a Telephone Trade 4 4 TRADE CANCELLATION REPLACEMENT noderoren ioiii AERA E A E E alata dee 4 4 1 CaNCel a TITE EE A EEA E E A E ON ONA 4 4 2 All Trades Approve Cancellation Counterparty ssess11sess1reessrreessrreessrreesnrrensnrreenrrensnrreesnrne 5 FREQUENTLY ASKED QUESTIONS escssssssessessssessessesessesneeessesneeeeseseeessesneeeeseeneeesseeaeensseeneeneneeneeneaeeas 23 5 1 HOW LONG DOES IT TAKE TO RECEIVE DIGITAL CERTIFICATE CREDENTIALS csssssessesesseeseeessteseeesseeneeseans 2
5. is this User Manual for The ASX TradeAccept User Manual has been written for Participant users of the ASX TradeAccept system Participant users of ASX TradeAccept include the following Participant Administrator User Participant Client User Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 4 ASX Limited 2 1 2 2 2 3 2 4 ASX TradeAccept User Manual V1 2 Setup and Access System Setup To access ASX TradeAccept the following system requirements apply e Internet Explorer 7 8 or 9 e JavaScript enabled browser ActiveX Controls set to Enabled Onsite MSI package installed for Windows XP Operating System Administrator Setup To create a ASX TradeAccept Administrator User 1 Ensure an active ASX Online profile is created Contact ASX Online Helpdesk See 6 1 ASX Customer Service ASX Online Helpdesk Support 2 Complete scan and email the ASX TradeAccept Participant Administration User Request form to participants online asx com au The user credentials will be sent by the ASX Online Helpdesk by email 3 Enrol and Download Digital Certificate See Client Side Digital Certificates User Enrolment Guide 4 Confirm login at the following link https asxtradeaccept connect asxonline com Participant Client User Setup To create a ASX TradeAccept Participant User please follow the steps below 1 Ensure there is an active ASX Online profile Contact ASX Onlin
6. not able to log on with an expired password To change your password follow the prompts presented by the system Be aware that the following standards apply to passwords Passwords must contain characters from at least three of the following four classes English upper case letters i e A Z English lower case letters i e a z Numeric Values i e 0 9 e Non alphanumeric special characters dollar sign _ underscore e Passwords may not contain the user name or any part of the user s full name Passwords must be at least eight characters long e New passwords must not be the same as the previous password Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 6 ASX Limited 3 1 3 2 Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved ASX TradeAccept User Manual V1 2 Administration Functionalities Adminitrators can perform the following functions on user accounts Search e Create e Edit Search for Users To search for a user 4 Open User Management 5 Input the user name in the Username field 6 Click Search Results will appear in summary form Creating a New User To create a new user 1 Click User Management in the navigation panel on the left hand side of the screen Block Trade EFP Trade Bond EFPs Upload Swap EFPs Upload Telephone Trade User Management ASX Administration 2 Click Create New User ASX TradeAc
7. the ASX TradeAccept System to Participants which includes but is not limited to e ASX TradeAccept site not available under http protocol ASX TradeAccept site running slowly Assistance on how to submit or approve trades User Accounts Creation Issues Activation e New Participants How to Rejected trades Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 24 ASX Limited ASX TradeAccept User Manual V1 2 Appendix A Status Definitions A 1 Deal Status Definitions ASPO Saved by sell party C Deal has been cancelled by the seller ASP1A Waiting for 2 level sell approval RbSPO Deal has been rejected by 2 level sell approver ABPO Waiting for buy party approval RbBPO Deal rejected by buy party ABP1A Waiting for 2 level buy approval AV Pending automated validation AS Pending manual validation by ASX RbS Deal rejected by ASX OK Deal approved by the exchange A 2 Cancellation Status Definitions OK1C Completed deal cancellation requested and awaiting approval from the other party OKCR Completed deal cancellation rejected OK2C Completed deal cancellation requested and awaiting approval from ASX OKCRX Completed deal cancellation rejected by ASX OKC Completed deal cancellation approved by ASX Participants have the ability to manage their own Users and User privileges as well as a two eyes four eyes user authoris
8. the basket by clicking on View Basket 6 Enter data in Seller Notes field T Select one of the following actions Click Save to save the Use when the trade is not yet ready to be ASPO trade sent to the next person in the workflow Click Submit to submit Use when the trade is to be approved bya ASP1A the trade second person in the sell firm Click Approve to Sends the trade to the buy party for ABPO approve the trade approval 4 2 1 1 Seller Approval of an EFP A sell firm may elect to have a second person approve a trade before submitting it to the buyer This is done as follows Step Action Description Status il Click EFP Trade onthe The EFP Trade management screen is left hand side of the shown screen 2 Locate trade Locate the row corresponding with the ASP1A trade that needs to be approved It should be highlighted in grey Click on the trade 3 View trade The Trade View screen will be displayed ASP1A with details of the trade This screen is read only To approve or reject the trade click Edit 4 Enter data in Seller ASP1A Notes field Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 14 ASX Limited ASX TradeAccept User Manual V1 2 Review the Physical Review physical and futures details ASP1A and Futures details of the trade 6 Select one of the following actions Click Save to save the Use when the trade is not yet
9. 3 5 2 WHAT IF ENTER THE INCORRECT PASSWORD THREE TIMES IN A ROW scsssssesseseseesesneeesseeneetenteneeteateneeses 5 3 IF CHANGE MY ASX ONLINE PASSWORD HOW LONG DOES IT TAKE TO TAKE EFFECT 5 4 DO HAVE TO ACCEPT THE TERMS OF USE TO USE ASX TRADEACCEPT n s 23 5 5 WHY DO THE CONTRACT SERIES CODES LOOK DIFFERENT TO SFEIN 0 cesessessesessesesssseseesnseesessseeeetanees 23 6 HELPDESK SUPPORT DETAILS S opri N A 24 6 1 ASX CUSTOMER SERVICE ASX ONLINE HELPDESK SUPPORT sssssesseseeseesessesuteesetsneeesetsnseteatsneeeeenenees 24 6 2 ASX 24 TRADING OPERATIONS DESK cssessessesesessesuseessesnseessesnsetsaesneeesansncetsassnseesatsnseteatsnsetsansnteteetenees 24 APPENDIX A STATUS DEFINITIONS 2 escsssessessesesseesesesseenenesneeseansneesennsneeneansneesenneneesenneneeneaneneenennaneeteats 25 AsT DEAUSTATUS DEFINITIONS rsienirsitinchcitelirtasiiicndtartain dies diendeasivatatn deesatnonieetvetetndens A 2 CANCELLATION STATUS DEFINITIONS APPENDIX B CONTRACT SERIES MAPPING c ccsssssssssssesnssees APPENDIX C TROUBLESHOOTING Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2 ASX Limited ASX TradeAccept User Manual V1 2 Gie IBROWSER RELATED ISSUES aiioe ihcuat agen atest aruda Aeae aer EEan a EENE EERE 27 C 1 1 HTTP 403 Forbidden ISSUC socane ien R r a A 27 Gilse ANASON SS UE ea A EA 27 G2 TRADE INPUT ISSUES zooa a E AE EAE A AT A RE T AA 28 C 2 1 Back button does N
10. 4 Enter details in Buy Client and Buyer Notes fields 5 Review the Physical and Futures details of the trade The Block Trade management screen is shown Description Locate the row corresponding with the trade that needs to be approved It should be highlighted in grey Click on the trade The Trade View screen will be displayed with details of the trade This screen is read only To approve or reject the trade click on the Edit button The Trade Edit screen will be displayed with the same details of the trade except this time the following fields may be edited e Buy Client e Buyer Notes Review physical and futures details Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved Status ABP1A ABP1A ABP1A ABP1A ABP1A 11 ASX Limited ASX TradeAccept User Manual V1 2 Action Description Status 6 Select one of the following actions Click Save to save the Use when the trade is not yet ready tobe ABP1A trade sent to the next person in the workflow Click Reject to reject the Use to reject a trade A prompt will be ask RbBPO trade for a rejection reason Select the reason from the drop down list If you choose Other add some text in the Explanation field to explain why the trade is being rejected Click Approve to Sends the trade to ASX for approval approve the trade 4 2 EFP Trades Please refer to the ASX 24 O
11. OWO isni traa E ARE EEE AAA EE 28 C 2 2 Opening the application in two different browser windows logs onto the same session 28 C 2 3 Error when uploading a basket grid file 0 0 ceccssscssesssseessseesseseseceseesenseessneresssetssnseessnsessnseess 29 C 2 4 Can t input a trade date of the next trading day sessss s11esssssss1reessssrsrreesnsnrsrreennsnrnrreesnsnrerreesns 29 C 2 5 Add Leg button unresponsive in the Create New Block Trade screen csssssssesseseseseeeeees 29 C 2 6 When updating the buy sell firm of a block trade error 93003001 OCCUFS sssesssesesesseseeeeees 29 C 2 7 Ifmy firm is both seller and buyer why can t I enter the buy client details immediately for EFP and Telephone trades irrena ae ea a E uaa a a a E e a a ae 29 C 2 8 Can submit a trade on a public holiday 0 2 eseesseseeceeseesseseesesesseescseeeenssessnesessnestesnsetesasetsaeeess 29 C 2 9 Ihave been editing or viewing a trade and then encounter a message saying Error Access Denied when I submit changes sssssississssiisssrirssssinssnunisnsuinennrnnennansndunnennnnetannadendannnnanenaninedandnnnadanenaaninna 30 Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 3 ASX Limited ASX TradeAccept User Manual V1 2 1 Introduction ASX TradeAccept is a web based system for the registration of ASX 24 off market trades Exchange For Physicals EFP Block Trades and Telephone Trades 1 1 Who
12. P1A Trade Number trade that needs to be approved Click on the Block Trade 3 Review data The Trade View screen will be displayed ASP1A with details of the trade This screen is read only Review physical and futures details 4 Click Edit Edit as necessary ASP1A 5 Enter Seller Notes if required 6 Select one of the following actions Click Save to save the Use when the trade is not yet ready to be ASP1A trade sent to the next person in the workflow Click Approve to Sends the trade to the buy party for ABPO approve the trade approval Click Reject to reject Use to reject a trade A prompt will be ask RsBPO the trade for a rejection reason Select the reason from the drop down list If you choose Other add some text in the Explanation field to explain why the trade is being rejected 4 1 1 3 Buyer Submission of a Block Trade Once a trade has been fully approved by the seller it is visible to the buyer for acceptance or rejection To submit a trade Action Click Block Trade on the left hand side of the screen Description The Block Trade management screen is shown Status ABPO Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 10 ASX Limited 2 Click on the Block Trade Number 3 Review data 4 Enter data in Buy Client amp Buyer Notes Fields 5 Review Block Trade Information and Fields ASX TradeAccept User Manual V1 2 Description Locate the row corresp
13. Review physical and futures details Select one of the following actions Click Save to save the trade Click Reject to reject the trade Click Approve to approve the trade 4 2 2 Bulk Uploading EFPs The file upload solution provides users entering Sell EFPs to load multiple Bond EFPs and Swap EFPs into ASX TradeAccept Bond EFPs and Swap EFPs need to be uploaded in ASX TradeAccept in separate csv files and in a format defined by the ASX Use when the trade is not yet ready to be sent to the next person in the workflow Use to reject a trade A prompt will be ask for a rejection reason Select the reason from the drop down list If you choose Other add some text in the Explanation field to explain why the trade is being rejected Sends the trade to ASX for approval Status ABP1A ABP1A ABP1A ABP1A ABP1A ABP1A RbBPO Copies of the csv file templates may be downloaded from ASX TradeAccept by clicking on Download Template in the respective Bond EFPs Upload and SWAP EFPs Upload page EFP Bond Bulk Upload Sell Party Transaction Details Please upload the BondEFPsUpload grid Upload BondEFPsUpload Trade Count Upload Download Template Note Between 12am to 7pm only trades with current trade date may be uploaded Note Between 7pm to 12am next day file uploads will not be allowed Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 16 ASX Limited ASX TradeAcce
14. ation process Participants User s designated as both Submitter and Approver can bypass the validation requirements and send trades directly to ASX 24 Service Desk Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 25 ASX Limited ASX TradeAccept User Manual V1 2 Appendix B Contract Series Mapping Contract Series codes in ASX TradeAccept are mapped differently than SFEIN The below table that explains these differences System Contract Contract Series Mapping Type SFEIN Future Commodity Code 2 Month 1 Year 1 Option Commodity Code 2 Month 1 Year 2 Strike Price 4 5 Call or Put 1 ASX Future Commodity Code 2 Month 1 Year 4 Future F TradeAccept Option Commodity Code 2 Month 1 Year 4 Call or Put 1 Strike Price 7 Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 26 ASX Limited ASX TradeAccept User Manual V1 2 Appendix C Troubleshooting C 1 C 1 1 C 1 2 Browser related Issues HTTP 403 Forbidden Issue Why do get the error message HTTP 403 Forbidden This can happen if there is not a valid digital certificate stored on the computer You can check your certificate in Internet Explorer by going to Tools gt Internet Options gt Content gt Certificates gt Personal The certificate issued should match your login name nl Certificates pS Intended pur
15. ber trade that needs to be approved Click on the Telephone Trade 3 Review data The Trade View screen will be displayed ABPO with details of the trade This screen is read only To approve or reject the trade click on the Edit button 4 Enter details in Buy Client The Trade Edit screen will be displayed ABPO and Buyer Notes fields with the same details of the trade except this time the following fields may be edited e Buy Client e Buyer Notes 5 Select one of the following actions Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 20 ASX Limited ASX TradeAccept User Manual V1 2 Action Descri ption Status Click Save to save the Use when the trade is not yet ready to ABPO trade be sent to the next person in the workflow Click Reject to reject the Use to reject a trade A prompt will be RbBPO trade ask for a rejection reason Select the reason from the drop down list If you choose Other add some text in the Explanation field to explain why the trade is being rejected Click Approve to approve Sends the trade to ASX for approval the trade 4 4 Trade Cancellation Replacement The cancellation of EFP and Block Trade transactions is permitted on the day of registration whilst the cancellation and replacement of EFP and Block Trade transactions is permitted on day 2 under ASX 24 Operating Rules Procedures The relevant form must be completed signed by an Authorised Signatory and s
16. cept Block Trade User Management EEP Trade Create New User Bond EFPs Upload Swap EFPs Upload Telephone Trade User Management ASX Administration User Search Firm Code v Username 3 Enter the ASX Online username into AOL User Name and click Search AOL Users ASX Limited 3 3 6 ts ASX TradeAccept User Manual V1 2 Create New User User Details AOL User Name Search AOL Users ASX User Name Search ASX Users If the username is found a screen is displayed with details of the user Enter Contact Number and select Firm Code Nominate the user s role s Interactive users can have one or more of the following roles Submitter e Approver Firm Admisnistrator Electronic users have only the EM Role If the user requires a certificate click Request Certificate Click Create User in TA to apply changes Participants have the ability to manage their own users and user privileges as well as a two eyes four eyes user authorisation process Users designated as both Submitter and Approver can bypass the validation requirements and send trades directly to Trading Operations Editing User To edit an existing User 1 2 3 Using the search function locate the required user Click on the required participant client user in the search results Make the following changes as required e Roles Revoke Certificate This will send request to ASX Online Helpdesk Enable
17. de of the screen is displayed screen 2 Click on the Telephone Locate the row corresponding with the ASP1A Trade Number trade that needs to be approved Click on the Telephone Trade 3 Review data The Trade View screen will be displayed ASP1A with details of the trade This screen is read only Review physical and futures details 4 Click Edit Edit as necessary ASP1A 5 Enter Seller Notes if required 6 Select one of the following actions Click Save to save the Use when the trade is not yet ready tobe ASP1A trade sent to the next person in the workflow Click Approve to approve Sends the trade to the buy party for ABPO the trade approval Click Reject to reject the Use to reject a trade A prompt willbe ask RsBPO trade for a rejection reason Select the reason from the drop down list If you choose Other add some text in the Explanation field to explain why the trade is being rejected 4 3 1 3 Buyer Submission of a Telephone Trade Once a trade has been fully approved by the seller it is visible to the buyer for acceptance or rejection Description Status Click Telephone Trade on the left hand side of the screen The Telephone Trade management screen is displayed ABPO Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 19 ASX Limited ASX TradeAccept User Manual V1 2 2 Click on the Telephone Locate the row corresponding with the ABPO Trade Number trade that needs to be appr
18. e Helpdesk See 6 1 ASX Customer Service ASX Online Helpdesk Support The user credentials will be sent by the ASX Online Helpdesk by email Create a ASX TradeAccept Participant User profile See 3 1 Search for Users To search for a user Open User Management Input the user name in the Username field Click Search ga N Seo oS Results will appear in summary form 4 Creating a New User 5 Enrol and Download Digital Certificate See Client Side Digital Certificates User Enrolment Guide 6 Confirm login at the following link https asxtradeaccept connect asxonline com Accessing ASX TradeAccept To access ASX TradeAccept 1 Open a browser and navigate to https asxtradeaccept connect asxonline com 2 Enter ASX Online login details 3 Read the Terms of Use and click Agree to continue Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 5 ASX Limited ASX TradeAccept User Manual V1 2 2 5 Session Timeout Session timeout and disconnection occurs after 60 minutes of inactivity A notification is given when attempting to perform a function in ASX TradeAccept and asked to log in again Be aware that if the session times out any unsaved information will be lost 2 6 Changing your Password Passwords expire every 90 days and users will be prompted by the system to enter a new password When the password has expired a message is displayed on the next attempt to log on to ASX TradeAccept Users are
19. e of the screen is displayed screen 2 Click Create Telephone Opens template for a new Telephone Trade Button Trade creation 3 Enter futures data The following details are required e Exchange defaults to SFE e Trade Date defaults to the current day next trade date can be selected after 5 pm e Agreement Time must be 24 hour format e Buy Firm e Sell Client e Contract Name e Contract Series Contract Series mapping e No Contracts e Registration Price e Delta Value Comments Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 18 ASX Limited Step 4 ASX TradeAccept User Manual V1 2 Action Description Status Populate Seller Notes text field in the Adational Information section Select one of the following actions Click Save to save the Use when the trade is not yet ready tobe ASPO trade sent to the next person in the workflow Click Submit to submit the Use when the trade is to be approved bya ASP1A trade second person in the sell firm Click Approve to approve Sends the trade to the buy party for ABPO the trade approval 4 3 1 2 Seller Approval of a Telephone Trade A sell firm may elect to have a second person approve a trade before submitting it to the buyer This is done as follows Action Description Status 1 Click Telephone Trade on The Telephone Trade management ASP1A the left hand si
20. eft hand side of the screen The following steps detail how a seller uploads a swap EFP file Description The EFP Swap Bulk Upload management screen is displayed Status Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved ASX Limited ASX TradeAccept User Manual V1 2 Action Description Status 2 Click Browse Navigate to the location of the swap Upload file Select the file and click on the Open button Selection made appears in the Upload SwapEFPsuUpload field 3 Click Upload Records in the file will be uploaded provided all records pass validation Should any record fail validation the entire file will be rejected 4 Select one of the following actions Click Save to save the Use when trades is not yet ready to be ASPO trades sent to the next person in the workflow Click Submit to submit the Use when trades are to be approved bya ASP1A trades second person in the sell firm Click Approve to approve Sends trades to the buy party for ABPO the trades approval Click Close to abort the Trades are not uploaded upload 4 3 Telephone Trades ASX authorises Telephone trading for the closing out of deliverable contracts in the event of an ASX Trade24 failure during Expiry only 4 3 1 Howto Create Submit and Approve 4 3 1 1 Creating Submitting and Approving Telephone Trades Description Status 1 Click Telephone Trade on The Telephone Trade management the left hand sid
21. ent to tradingoperations asx com au The relevant forms can be located at their respective links below e Day One Cancellation Form Day Two Replacement Form 4 41 Cancela Trade Either party can initiate the cancellation a trade by following the process below Action Description Status i Select the type of trade to The relevant management screen is be canceled by clicking shown the relevant link on the left hand side of the screen 2 Locate trade Locate the row corresponding with the OK trade that needs to be cancelled It should be highlighted in grey Click on the trade 3 Review data The Trade View screen is displayed with OK details of the trade Review the trade details to confirm that it is the trade that requires cancellation Click Edit to proceed 4 Click Cancel Trade Enter a cancellation reason by choosing OK a Reason from the drop down list Options will be e Duplication e Invalid Contract e Invalid Counterparty e Invalid Physical e Invalid Price e Invalid Volume e Other Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 21 ASX Limited Action ASX TradeAccept User Manual V1 2 Description If the reason is Other enter the reason in the Explanation field Status 4 4 2 All Trades Approve Cancellation Counterparty Once a trade cancellation has been initiated the trade moves to the other party to confirm or reject the cancellation reque
22. how long does it take to take effect You will need to wait at least half an hour before you can access ASX TradeAccept Do I have to accept the Terms of Use to use ASX TradeAccept You are required to accept the Terms of Use every time you log into ASX TradeAccept If you do not accept you cannot proceed further and will be logged out of ASX TradeAccept Why do the Contract Series codes look different to SFEIN ASX TradeAccept uses a different Contract Series Mapping format Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 23 ASX Limited 6 1 6 2 ASX TradeAccept User Manual V1 2 Helpdesk Support Details ASX Customer Service ASX Online Helpdesk Support Phone 1800 682 484 Email participants online asx com au ASX Customer Service provides primary support for ASX Online users accessing ASX TradeAccept through ASX Online Tasks supported include ASX Online password generator issues e ASX Online displaying error messages cannot continue www asxonline com not available under the http protocol www asxonline com running slowly Cannot connect to www asxonline com ASX TradeAccept login issues e ASX TradeAccept login displaying error message cannot continue Cannot connect to ASX TradeAccept ASX 24 Trading Operations Desk All other issues should be directed to the Trading Operations Desk Phone 61 2 9256 0677 Email tradingoperations asx com au Operational support of
23. kflow Click Submit to submit Use when the trade is to be approved bya ABP1A the trade second person in the buy firm Click Reject to reject the Use to reject a trade A prompt willbe ask RbBPO trade for a rejection reason Select the reason from the drop down list If you choose Other add some text in the Explanation field to explain why the trade is being rejected Click Approve to Sends the trade to ASX for approval approve the trade Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 15 ASX Limited 4 2 1 1 ASX TradeAccept User Manual V1 2 Buyer Approval of an EFP A buy firm may elect to have a second person approve a trade before submitting it to the ASX for approval This is done as follows 1 Step Action Click EFP Trade on the left hand side of the screen Locate trade View trade Enter data in Buy Client amp Buyer Notes fields Review the Physical and Futures details of the trade Description The EFP Trade management screen is shown Locate the row corresponding with the trade that needs to be approved It should be highlighted in grey Click on the trade The Trade View screen will be displayed with details of the trade This screen is read only To approve or reject the trade click Edit The Trade Edit screen will be displayed with the same details of the trade except this time the following fields may be edited e Buy Client e Buyer Notes
24. onding with the trade that needs to be approved It should be highlighted in grey Click on the trade The Trade View screen will be displayed with details of the trade This screen is read only To approve or reject the trade click on the Edit button The Trade Edit screen will be displayed with the same details of the trade except this time the following fields may be edited e Buy Client e Buyer Notes Review physical and futures details 6 Select one of the following actions Click Save to save the trade Click Submit to submit the trade Click Reject to reject the trade Click Approve to approve the trade Use when the trade is not yet ready to be sent to the next person in the workflow Use when the trade is to be approved by a second person in the buy firm Use to reject a trade A prompt will be ask for a rejection reason Select the reason from the drop down list If you choose Other add some text in the Explanation field to explain why the trade is being rejected Sends the trade to ASX for approval 4 1 1 4 Buyer Approval of a Block Trade Status ABPO ABPO ABPO ABPO ABPO ABP1A RbBPO A buy firm may elect to have a second person approve a trade before submitting it to the ASX for approval This is done as follows Action 1 Click Block Trade on the left hand side of the screen 2 Click on the Block Trade Number 3 Review data
25. or disable the user Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 8 ASX Limited ASX TradeAccept User Manual V1 2 4 Trading Functionalities 41 Block Trades For rules regarding trading Block Trades and a list of products that may be reported via the Block Trade facility refer to ASXTrade24 Operating Rules Procedures Minimum Block trading thresholds applicable to each leg of the trade are published on the ASX website 4 1 1 Block Trade Registration Process The steps in registrating Block Trades are as as follows 1 Creation by the Seller 2 Approval by the Seller If applicable 3 Submit by the Buyer 4 Approval by the Buyer If applicable 4 1 1 1 Creating a Block Trade To create a block trade the seller follows the procedure below eet eg TS Click Block Trade on The Block Trade management screen is the left hand side of displayed the screen 2 Click Create Block Opens template for a new Block Trade Trade creation 3 Enter futures The following data is required for a future information e Exchange defaults to SFE e Trade Date defaults to the current day next trade date can be selected after 5 pm e Agreement Time must be 24 hour format e Buy Firm e Average Price 4 Enter data Legs field The following data for each block trade leg in the new Block e Contract Name Trade template e Contract Type defaults to Futures e Contract Series Contract Se
26. oved Click on the Telephone Trade 3 Review data The Trade View screen will be displayed ABPO with details of the trade This screen is read only To approve or reject the trade click on the Edit button 4 Enter details in Buy Client The Trade Edit screen will be displayed ABPO and Buyer Notes fields with the same details of the trade except this time the following fields may be edited e Buy Client e Buyer Notes 5 Select one of the following actions Click Approve to approve Use when the trade is not yet ready to ABPO the trade be sent to the next person in the workflow Click Approve to approve Use when the trade is to be approved by ABP1A the trade a second person in the buy firm Click Approve to approve Use to reject a trade A prompt will be RbBPO the trade ask for a rejection reason Select the reason from the drop down list If you choose Other add some text in the Explanation field to explain why the trade is being rejected Click Approve to approve Sends the trade to ASX for approval the trade 4 3 1 4 Buyer Approval of a Telephone Trade A buy firm may elect to have a second person approve a trade before submitting it to ASX for approval This is done as follows Step Action Description Status f Click Telephone Trade on l The Telephone Trade management ABPO the left hand side of the screen is displayed screen 2 Click on the Telephone Locate the row corresponding with the ABPO Trade Num
27. perating Rules Procedures in regards to all of the EFP reporting and registration requirements 4 2 4 Creating Submitting and Approving EFP Trades The following types of EFP can be reported using ASX TradeAccept e Bond Swap Other e SPI vs XJO SPI vs Basket The process to report is the same for all types 4 2 1 1 Creating an EFP The creation of an EFP is the same for all types the only difference is the information entered for the physical component of the trade Description Status ile Click EFP Trade onthe The EFP Trade management screen is left hand side of the displayed screen 2 Click on one of the The EFP Trade entry screen is shown following to create the type of EFP being reported e Create Bond e Create Swap e Create Other e Create SPI v XJO e Create SPI v Basket 3 Enter details about the The following data can be entered for future futures e Exchange defaults to SFE Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 12 ASX Limited ASX TradeAccept User Manual V1 2 Description Status Action e Trade Date defaults to the current day next trade date can be selected after 5 pm e Agreement Time must be 24 hour format e Buy Firm e Sell Client e Contract Type e Contract Name e Contract Series Contract Series mapping e No Contracts e Registration Price e Delta Value Options only e Comments 4
28. pose lt All gt Personal Other People Intermediate Certification Authorities Trusted Root Certificatior Issued To Issued By Expiratio Friendly Name EQIASXTA UsersName ASX CA 14 06 2013 lt None gt ee faaan aaa Certificate intended purposes lt All gt vew Learn more about certificates K A JavaScript Issue Why do get the error message JavaScript must be enabled to use this site Please enable JavaScript in your browser and try again The application checks to see if JavaScript is enabled before it renders the pages in full If JavaScript is not enabled you will not be able to enter any data It should be possible to enable JavaScript through the Internet Options gt Programs gt Manage add ons gt Toolbars and Extensions section of your browser Consult Internet Explorer Help for more information on how to do this for your browser version Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 27 ASX Limited C 2 C 2 1 C 2 2 ASX TradeAccept User Manual V1 2 General Security Privacy Content Connections Programs Advanced Default web browser Internet Explorer is the default web Make default browser V Tell me if Internet Explorer is not the default web browser Manage add ons is Enable or disable browser add ons Manage add ons installed in your system HTML editing Choo
29. pt User Manual V1 2 Upon login to ASX TradeAccept the user will select the respective file upload option on the left of the screen Block Trade Click on the menu item on the left to go to the area you wish to use EFP Trade Bond EFPs Upload SWAP EFPs Upload Telephone Trade User Management ASX Administration 4 2 2 1 Uploading a Bond EFP File The following steps detail how a seller uploads a bond EFP file Step Action Description Status f Click Bond EFPs Upload The EFP Bond Bulk Upload management on the left hand side of screen is displayed the screen 2 Click Browse Navigate to the location of the Bond Upload file Select the file and click on the Open button Selection made appears in the Upload BondEFPsUpload field 3 Click Upload Records in the file will be uploaded provided all records pass validation Should any record fail validation the entire file will be rejected 4 Select one of the following actions Click Save to save the Use when trades is not yet ready to be ASPO trades sent to the next person in the workflow Click Submit to submit the Use when trades are to be approved bya ASP1A trades second person in the sell firm Click Approve to approve Sends trades to the buy party for ABPO the trades approval Click Close to abort the Trades are not uploaded upload 4 2 2 1 Uploading a Swap EFP File Action Click Swap EFPs Upload on the l
30. ready tobe ASP1A trade sent to the next person in the workflow Click Approve to Sends the trade to the buy party for ABPO approve the trade approval Click Reject to reject the Use to reject a trade A prompt willbe ask RsBPO trade for a rejection reason Select the reason from the drop down list If you choose Other add some text in the Explanation field to explain why the trade is being rejected 4 2 1 2 Buyer Submission of an EFP Once a trade has been fully approved by the seller it is visible to the buyer for acceptance or rejection Action Description Status be Click EFP Trade onthe The EFP Trade management screen is left hand side of the shown screen 2 Locate trade Locate the row corresponding with the ABPO trade that needs to be approved It should be highlighted in grey Click on the trade 3 View trade The Trade View screen will be displayed ABPO with details of the trade This screen is read only To approve or reject the trade click Edit 4 Enter data in Buy Client The Trade Edit screen will be displayed ABPO amp Buyer Notes fields with the same details of the trade except this time the following fields may be edited e Buy Client e Buyer Notes 5 Review the Physical Review physical and futures details ABPO and Futures details of the trade 6 Select one of the following actions Click Save to save the Use when the trade is not yet ready tobe ABPO trade sent to the next person in the wor
31. ries mapping e Reg Price registration price e No Contracts number of contracts e Sell Firm e Sell Client The first leg may be entered in the first row of the grid Subsequent legs may be added by filling out the fields in the New Leg strip and clicking on the sign on the far right 5 Populate Seller Notes Enter the following data for additional text field in the information Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 9 ASX Limited ASX TradeAccept User Manual V1 2 Step Action Description Status Addtional Information Seller Notes section 6 Select one of the following actions Click Save to save the Use when the trade is not yet ready to be ASPO trade sent to the next person in the workflow Click Submit to submit Use when the trade is to be approved bya ASP1A the trade second person in the sell firm Click Approve to Sends the trade to the buy party for ABPO approve the trade approval 7 Record Trade ID Note the deal number E g 12345 ABPO Number 4 1 1 2 Seller Approval of a Block Trade A sell firm may elect to have a second person approve a trade before submitting it to the buyer To approve a trade Step Action Description Status 1 Click Block Trade on The Block Trade management screen is ASP1A the left hand side of shown the screen 2 Click on the Block Locate the row corresponding with the AS
32. s general information only and may be subject to change at any time without notice ASX Limited ABN 98 008 624 691 and its related bodies corporate ASX makes no representation or warranty with respect to the accuracy reliability or completeness of this information To the extent permitted by law ASX and its employees officers and contractors shall not be liable for any loss or damage arising in any way including by way of negligence from or in connection with any information provided or omitted or from anyone acting or refraining to act in reliance on this information The information in this document is not a substitute for any relevant operating rules and in the event of any inconsistency between this document and the operating rules the operating rules prevail to the extent of the inconsistency ASX Trademarks 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 trademark contained within the document ASX ASX Trade24 30
33. s such as IE 6 and IE7 allow separate sessions to run in separate windows This means that you can log into two windows using different usernames However we do not recommend this practice as it can be confusing and prone to error Error when uploading a basket grid file If the template file has been opened in Excel it will need to be explicitly saved with a file type of CSV Comma Delimited It does not save with this format by default If the file is uploaded to the system with any other format it will be rejected Please also note the following restrictions on field lengths Stock Code String 8 ABC Price Numeric 3 4 3 24 Quantity Numeric 8 0 21678 Opening the csv file in a text editor should look like this File Edit Format View Help Ticker Price Volume AAD 1 06 136 009 AAX 2 86 0 ABC 3 24 216 768 ABP 2 25 109 510 AGK 14 91 198 667 AGO 3 11 211 750 AIO 1 595 1 309 210 AIX 1 94 275 232 65 192 623 7 41 697 98 105 115 Can t input a trade date of the next trading day It will be possible to input a trading date of the following day after 5pm This option is not available for trades earlier in the day Add Leg button unresponsive in the Create New Block Trade screen This can occur if the button is clicked too rapidly in succession The browser requires sufficient time to load the current contract series Click more slowly in order to allow this to happen
34. se the program that you want Internet Explorer to use for editing HTML files HTML editor Microsoft Word Internet programs Choose the programs you want to use Set programs for other Internet services such as e mail It might be necessary to shut down all instances of Internet Explorer before changes take effect Trade Input Issues Back button does not work Like certain online banking applications ASX TradeAccept does not support use of the back button in order to prevent trades being entered twice Depending on the location in the site the following behaviour might be observed e Unexpected page expiry Unexpectedly reloading the current page instead of going to the previous page Since the trade input workflow allows for trades to be edited saved cancelled and rejected it should not be necessary to use the Back button at any time Opening the application in two different browser windows logs onto the same session In certain browsers such as IE 8 it is only possible to run a single session at a time on a single machine That means that if two browser windows are opened and the user logs off in the second window and logs on again under a different username the original window will assume the new username Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 28 ASX Limited C 2 3 C 2 4 C 2 5 C 2 6 C 2 7 C 2 8 ASX TradeAccept User Manual V1 2 Older browser
35. st Step Action Description Status f Click the relevant link on The relevant management screen is the left hand side of the shown screen for the type of trade to be cancelled 2 Locate trade Locate the row corresponding with the OK trade that needs to be cancelled It should be highlighted in grey Click on the trade 3 Review data The Trade View screen will be displayed OK with details of the trade Review the trade details to confirm that it is the trade that requires cancellation Click Edit to proceed 4 Review the cancellation reason in the Additional Information section and select one of the following actions Click Approve to approve Cancellation request is submitted to the the trade ASX for approval Click Reject to reject the trade Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 22 ASX Limited 5 1 5 2 5 3 5 4 5 5 ASX TradeAccept User Manual V1 2 Frequently Asked Questions How long does it take to receive digital certificate credentials ASX Online Helpdesk aims to turnaround digital certificate requests within 24hrs What if enter the incorrect password three times in a row You will be locked out of ASX TradeAccept and ASX Online and will need to have your password reset by the Administrators e ASX Online Participant System Administrator at your organisation or ASX Online Helpdesk If I change my ASX Online password
Download Pdf Manuals
Related Search