ASX Online Participants. An overview of ASX Online for Enterprise Administrators. V1.3

Transcription

1 ASX Online Participants An overview of ASX Online for Enterprise Administrators. V1.3

2 Contacts For general enquiries, please contact: CONTENTS What is ASX Online 3 Roles and permissions 3 Receiving Notices 9 Browser Compatibility 11 Security and Passwords 11 Raising Service Requests 11 Reporting 13 Where can I access further information? ASX Limited ABN /15

3 What is ASX Online What do participants use ASX Online for? ASX Participants predominately use ASX Online to complete the following tasks: Receiving Notices that update participants on changes to ASX Operating Rules; Report lodgement such as Short Selling and Securities Lending; Raising a service request; and Establishing authorisation credential as Authorised Signatories for ASX Market and ASX 24 Trading Participants What information do participants access via ASX Online? Fee schedules ASX Procedure Guidelines (APGs) Operating Rules System Manuals Short Sales and Securities Lending reports Application forms and supporting documents Dates of key market events such as Non-Trading and Non-Settlement days Key Reporting deadlines Roles and permissions Enterprise Administrators ASX has created a master user in ASX Online known as Enterprise Administrator. The Enterprise Administrator is responsible for creating, managing and disabling authority on behalf of other users within the participant they are responsible for. An Enterprise Administrator can assign any and all roles to themselves. There is no limit on the number of Enterprise Administrators a participant can appoint, however, ASX requires a minimum of two per participant ASX Limited ABN /15

4 Enterprise Administrators are required by ASX, when providing access to ASX Online to a new user, to inform the relevant user of ASX s Privacy Statement by accepting terms. ASX recommends each participant develop internal business processes to communicate the identity of the Enterprise Administrator to relevant staff. How are roles appointed? Enterprise Administrators are responsible for creating, managing and disabling authority on behalf of other users for their entity within ASX Online (See Image 1: Manage user roles and permissions). There is no limit or restriction on which roles can be assigned to an ASX Online user. Enterprise Administrators can assign the role of Authorised Signatory, for the purpose of establishing authorisation credential as Authorised Signatories for ASX Market and ASX 24 Trading Participants, to an ASX Online user in the same way other roles are assigned to ASX Online users. Enterprise Administrators should assign the role of Default for staff who only have limited interactions with ASX Online. A 'Default' ASX Online user can view and manage personal contact information, manage notification & event preferences, receive subscriptions based on those preferences as well as submit and manage service requests. How are roles and permissions amended and removed? Enterprise Administrators can amend or remove any roles assigned to a user, including disabling the user, effectively suspending their access to ASX Online. How does a Participant appoint Enterprise Administrators? Participants can appoint a new Enterprise Administrator in same way that other roles are assigned. The assignment of an Enterprise Administrator triggers additional s, for the purpose of transparency, to be sent to existing users within the participant assigned to the role of 'Enterprise Administrator' ASX Limited ABN /15

5 Image 1: Manage user roles and permissions 2016 ASX Limited ABN /15

6 What types of roles are available in ASX Online? Enterprise Administrator Default Business Authorised Tech Operator Tech Authorised Compliance Manager Short Sales Reporting Securities lending Reporting Authorised Signatory ASX Trade Participants Authorised Signatory ASX24 Trade Participants Operations (Front Office) Group 1 This role creates, manages and disables authority of behalf of users within the participant for ASX Online. This role is also responsible for maintaining the organisational details of the entity including branch locations and if applicable, the business profile, which appears on asx.com.au in the Find a Broker search. This role can view and manage their personal contact information. Can manage notification and event preferences. Can view participant organisational details. Can submit and manage a service request. This role can view and manage all application submissions on behalf of the applicant. This role is also suited to users acting in a position of authority on behalf of the applicant/participant but are not directly employed by the entity itself. i.e. the participants legal representation. This role can submit and manage a technical service request and view the status of technical orders. This role can request access to the Australian Liquidity Centre (ALC) and ASX Hosted hardware and equipment located in the ALC and ASX Proximity Site. Can order an ALC Service. Can request a quote for a price of a Technical Service and ALC product or service. Can view current Technical Services and ALC product and services. Can submit and manage a service request. This role can view and manage all compliance service requests. This role is in addition to the users appointed via ACM. This role can view Short Sales Reporting related pages and submit a Short Sales Report on behalf of the participant. This role can view Securities Lending Reporting related pages and submit a Securities Lending Report on behalf of the participant. Provides for a level of authorisation to act on behalf of the entity. ASX internal staff will confirm authorisation exists prior to executing requests: execute relevant ASX requests such as trade cancellations, query orders with Trading Operations. Provides for a level of authorisation to act on behalf of the entity. ASX internal staff will confirm authorisation exists prior to executing requests: execute relevant ASX24 Trade Participants requests such as trade cancellations, query orders with Trading Operations Can view and manage all service requests raised by ASX Online users allocated to that group 1* ASX Limited ABN /15

7 Operations (Middle Office) Group 2 Operations (Back Office) Group 3 Can view and manage all service requests raised by ASX Online users allocated to that group 2*. Can view and manage all service requests raised by ASX Online users allocated to that group 3*. *Entity Member - Groups 1, 2 & 3 provide participants the ability to assign users to a specific entity member group, which will allow all those users in that group to see the service requests raised by any users within that group, as well as ASX s response. An example of how the entity member group functionality may be used, would be to assign the participant's front office staff to one group and operations staff to a separate group, so that front office staff are restricted from seeing requests raised by the participant s bank-office team and vice versa. Or participants can allocate all users to a single entity member group which will mean all users (irrespective of their position within the participant) can see all service requests raised apart from requests raised under the type of General. How do I sign in to ASX Online if I am assigned to multiple entities? ASX Online users, including Enterprise Administrators, who represent more than one participation entity will be required to select the relevant participation entity the user would like to represent when they sign in. An ASX Online user can only be signed in into one participation entity at a time. ASX Online will display to the user which participation entity they are signed into. ASX Online users who subscribe to notices and other published content only need to do so from only one of the participation entities ASX Limited ABN /15

8 What information does ASX require to provide access to the ASX Online? 1. Address: The address will be used as their username for sign in (Note: ASX requires this to be an individual and not a group address) 2. First Name 3. Last Name 4. Job Title (optional) 5. Department (optional): This information may help Enterprise Administrators undertake internal audits of system access 6. Office Number: The primary contact number for the ASX Online user. 7. Mobile Number (optional): A secondary contact number for the ASX Online user, if the user is not contactable on the primary number. 8. Office Address (optional): This information may help Enterprise Administrators undertake internal audits of system access. 9. Time Zone: This information is used by ASX when making telephone contact with the ASX Online user. (See Image 2: User Profile) Why are Authorised Signatories asked to provide 3 Challenge Questions and Answers? Users that have been authorised to act on behalf of the participant as Authorised Signatories are required to create 3 Challenge Questions and Answers as part of the account verification process. This information is used by ASX for the purpose of identifying the user ASX Limited ABN /15

9 Image 2: User Profile Why am I required to accept Terms and Conditions when I add a new user to ASX Online? As an Enterprise Administrator providing access to ASX Online for users within your entity, ASX requires you to inform the relevant user of ASX s Privacy statement. What can be accessed within ASX Online without having a sign in? ASX Online users that do not have a sign in can search for and view public notifications including ASX Notices as well as public events. Receiving Notices How can I subscribe to ASX Notices? ASX Notices and other communications can easily be subscribed to from the 'Manage Notifications' page (See Image 3: Manage Notification Preferences). ASX Online users can choose to have notifications ed to them, as is the case today or access their notifications from ASX Online directly ASX Limited ABN /15

10 Image 3: Manage Notification Preferences 2016 ASX Limited ABN /15

11 How will representatives of the participant know who their Enterprise Administrators is? Participants will need to have an internal business process to communicate to staff who require access to ASX Online who their Enterprise Administrators are. How do users amend Notification preferences? ASX Notices and other communications can easily be subscribed to from the 'Manage Notifications' page. ASX Online users can choose to have notifications ed to them, as is the case today or access their notifications from ASX Online directly. Browser Compatibility What browsers is ASX Online compatible with? ASX Online is compatible with all the major browsers and devices. You will be able to complete your tasks on ASX Online or access your notifications from your desktop, laptop, tablet or smartphone. Security and Passwords How do users reset their password? ASX Online users are able to reset their password from a link on the Sign In page. Users are required to enter a valid address, to which a verification will be sent to complete the process. Enterprise Administrators are also able to reset a user s password. Can anyone access Operating Rules of ASX without an ASX Online login? Users without ASX Online credentials can access ASX Online to search for and view public notifications and public events. Accessing ASX Rules via ASX Online requires a valid username and password. The Operating Rules are also available on asx.com.au. Raising Service Requests ASX Online provides users with the ability to raise service requests (See Image 4: Raise a Service Request) under the following sub-sets: Trading requests/questions will be directed to Trading Operations Clearing and Settlement - requests/questions will be directed to Post Trade Core Operations 2016 ASX Limited ABN /15

12 Issuer request/questions will be directed to Issuer Services Technical requests/questions will be directed to Customer Technical Support General requests/questions will be directed to ASX Customer Service All ASX Online users can raise a service request to any of the sub-sets (ASX departments) identified above. Image 4: Raise a Service Request 2016 ASX Limited ABN /15

13 Reporting How can I lodge a Short Sales Report? Lodging a Short Sales Report is a simple and intuitive process in ASX Online. Access to the reporting function is available in the main navigation panel on the left of all ASX Online pages. Reporting Short Sales can either be completed by uploading a.csv file or manually uploading the data, as is the case today when lodging Short Sales reports. A separate guide for Short Sales Reporting is available to users of ASX Online that submit these reports. Image 5: Submit Short Sales Report 2016 ASX Limited ABN /15

14 How can I lodge a Securities Lending Report? Lodging a Securities Lending Report is a simple and intuitive process in ASX Online. Access to the reporting function is available in the main navigation panel on the left of all ASX Online pages. Reporting Securities Lending can either be completed by uploading a.csv file or manually uploading the data, as is the case today when lodging Security Lending reports. A separate guide for Securities Lending Reporting is available to users of ASX Online that submit these reports. Image 6: Submit Securities Lending Report 2016 ASX Limited ABN /15

15 Where can I access further information? If you have any questions please contact asx.online@asx.com.au ASX Limited ABN /15