ASX LIMITED — Interim / Quarterly Report 2017

Dec 4, 2016

5 December 2016

Australian Securities and Investments Commission Mr Oliver Harvey Senior Executive Leader, Financial Market Infrastructure Level 5, 100 Market Street SYDNEY NSW 2000

ASX Market Announcements Office ASX Limited 20 Bridge Street SYDNEY NSW 2000

ASX GROUP MONTHLY ACTIVITY REPORT – NOVEMBER 2016

Attached is a copy of the Monthly Activity Report for November 2016.

Amanda J. Harkness

Group General Counsel & Company Secretary

20 Bridge Street Sydney NSW 2000

ASX Limited ABN 98 008 624 691

www.asx.com.au Customer service 13 12 79

MARKET ANNOUNCEMENT

5 December 2016

ASX GROUP MONTHLY ACTIVITY REPORT – NOVEMBER 2016

The value of ASX-listed stocks, as measured by the All Ordinaries Index, rose 1.9% in November 2016. This performance was lower than some major markets, including Japan up 5.1%, the US up 3.4% and Singapore up 3.2%. Declines were observed in the UK, down 2.5%, Hong Kong down 0.6% and Germany down 0.2%.

Volatility measures for the Australian equity market increased during November:

• Volatility (as measured by the average daily movement in the All Ordinaries Index) was 0.7% in November, up on the previous month (0.5%).

• Expected future volatility (as measured by the S&P/ASX 200 VIX) rose in November to an average of 15.2 (compared to 14.1 in October).

LISTINGS AND CAPITAL RAISINGS

• In November 2016, total capital raised was $5.5 billion, down 30% on the previous corresponding period (pcp).

Listings and Capital Raisings	November 2016 Month November 2015 Month November 2016 Financial YTD November 2015 Financial YTD
New listed entities admitted De-listings Total listed entities (at end of month) Change on pcp Initial capital raised ($million) Change on pcp Secondary capital raised ($million) Other capital raised including scrip-for-scrip ($million) Total secondary capital raised ($million) Change on pcp Total capital raised including other ($million) Change onpcp	22 8 69 52 5 3 66 51 2,207 2,221 -1% 3,743 1,158 10,054 10,915 223% -8% 1,563 6,514 18,279 29,771 226 239 1,981 5,238 1,789 6,753 20,260 35,009 -74% -42% 5,532 7,911 30,314 45,924 -30% -34%

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TRADING – CASH MARKETS (INCLUDING EQUITIES, INTEREST RATE AND WARRANTS TRADES)

• In November 2016, the average daily number of trades was 27% higher than the pcp. The average daily value traded on-market of $4.7 billion was 15% higher than the pcp.

Cash Markets

November 2016 Month November 2015 Month November 2016 Financial YTD November 2015 Financial YTD

Total trading days (Cash market includes equity, warrant and interest rate market transactions) Cash market volume Total trades Change on pcp Average daily trades Change on pcp Cash market value Open trading ($billion) Auctions trading ($billion) Centre Point ($billion) Trade reporting ($billion) Total value ($billion) Change on pcp Average daily value on-market ($billion) Change on pcp Average daily value ($billion) Change on pcp Average value per trade ($) Change on pcp Non-billable value (above cap) ($billion) Total billable value ($billion) Trade reporting means the value of trades executed outside the order books of ASX or Chi-X that is subsequently reported to ASX forpublication

22 21 109 109 24,366,378 18,293,017 110,883,540 91,395,942 33% 21% 1,107,563 871,096 1,017,280 838,495 27% 21% 71.596 61.705 315.233 332.884 20.061 17.264 93.367 85.650 10.731 6.011 45.486 30.545 13.688 13.820 65.907 65.520 116.076 98.800 519.993 514.599 17% 1% 4.654 4.047 4.166 4.120 15% 1% 5.276 4.705 4.771 4.721 12% 1% 4,764 5,401 4,690 5,630 -12% -17% 1.344 2.912 6.576 7.388 114.732 95.888 513.417 507.211

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TRADING – FUTURES

• In November 2016, average daily futures and options on futures volumes were up 18% on the pcp. Average daily futures volume was up 18% and average daily options volume was down 27% on the pcp.

Futures	November 2016 Month November 2015 Month November 2016 Financial YTD November 2015 Financial YTD
Futures and options total trading days (includes interest rate, ASX SPI 200, commodities and energy contracts) Futures volume Total contracts Change on pcp Average daily contracts Options on futures volume Total contracts Change on pcp Average daily contracts Total futures and options on futures volume Total contracts Change on pcp Average daily contracts Change onpcp	22 21 109 109 11,658,394 9,398,893 54,489,934 50,632,757 24% 8% 529,927 447,566 499,908 464,521 142,868 186,674 604,795 786,738 -23% -23% 6,494 8,889 5,549 7,218 11,801,262 9,585,567 55,094,729 51,419,495 23% 7% 536,421 456,456 505,456 471,738 18% 7%

Volume of futures trading by individual contract is available at the following link - http://www.asx.com.au/data/market reports/MonthlyFuturesMarketsReport161130.pdf

CLEARING – OTC MARKETS

• In November 2016, the notional value of OTC interest rate derivative contracts centrally cleared was $445 billion, compared to $188 billion in the pcp.

OTC Markets	November 2016 Month November 2015 Month November 2016 Financial YTD November 2015 Financial YTD
Total notional cleared value ($billion) Open notional cleared value ($billion) (at end of month) * Cleared notional value is double sided	445.396 187.534 1,813.457 713.400 1,981.494

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TRADING – EQUITY OPTIONS

• In November 2016, the average daily number of exchange-traded options increased 31% on the pcp. Single stock options average daily contracts traded were up 34% on the pcp and index options average daily contracts traded were up 13% on the pcp.

Equity Options	November 2016 Month November 2015 Month November 2016 Financial YTD November 2015 Financial YTD
Exchange-traded options total trading days (includes single stock equity options and index options) Single stock equity options volume Total contracts Change on pcp Average daily contracts Index options volume Total contracts Change on pcp Average daily contracts Total options volume Total contracts Change on pcp Average daily contracts Change onpcp	22 21 109 109 8,534,064 6,063,997 36,533,865 36,820,355 41% -1% 387,912 288,762 335,173 337,801 1,192,086 1,002,855 4,696,732 5,143,098 19% -9% 54,186 47,755 43,089 47,184 9,726,150 7,066,852 41,230,597 41,963,453 38% -2% 442,098 336,517 378,262 384,986 31% -2%

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CLEARING – EXCHANGE-TRADED MARKETS

• Participant margin balances held on balance sheet at month-end totalled $5.8 billion in November 2016 compared to $4.6 billion in November 2015.

ASX Clearing Corporation Collateral Balances – At End of Month	November 2016 Month November 2015 Month November 2016 Financial YTD November 2015 Financial YTD
Cash margins held on balance sheet: - ASX Clear ($billion) - ASX Clear (Futures) ($billion) Cash equivalents held on balance sheet – ASX Clear (Futures) ($billion) Collateral cash cover held off balance sheet (equities and guarantees) – ASX Clear ($billion) Total billable cash market value cleared($billion)	0.5 0.7 5.1 3.8 0.2 0.1 3.7 3.4 113.358 93.054 504.794 493.578

SETTLEMENT

• The value of securities held in CHESS was 12% higher than the pcp. The number of dominant settlement messages in November 2016 was 18% higher than the pcp.

• The value of securities held in Austraclear was 5% higher than the pcp.

ASX Settlement	November 2016 Month November 2015 Month November 2016 Financial YTD November 2015 Financial YTD
Value of CHESS holdings – period end ($billion) Dominant settlement messages(million)	1,706.0 1,524.9 1.6 1.4 8.0 6.9
Austraclear Settlement and Depository
Austraclear securities holdings – period end ($billion)	1,940.0 1,854.5

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LISTINGS COMPLIANCE ACTIVITY

Listing Compliance Activity	November 2016 Month November 2015 Month November 2016 Financial YTD November 2015 Financial YTD
Total company announcements Price queries by ASX ¹ Other continuous disclosure queries by ASX ² Aware letters sent by ASX ³ Announcements made following a price query Number of trading halts Number of suspensions	11,721 11,684 57,685 56,573 25 25 188 112 30 28 132 150 8 10 46 37 18 21 119 93 129 135 671 564 29 45 198 189

PARTICIPANTS

• During the month of November World Financial Desk LLC resigned as an ASX Futures Participant.

ASX Market Participants⁴	November 2016 Month November 2015 Month
New admissions Resignations and removals Market/Clearing/Settlement Participants at month end	0 0 0 1 121 120
ASX Futures Participants
New admissions Resignations and removals Trading/ClearingParticipants at month end	0 0 1 2 51 54

¹ Price queries are enquiries made by ASX (either by letter or phone) to a listed entity if it detects unusual movements in a listed entity’s security price or trading volumes to ask if the entity is aware of any information that has not been announced which, if know, might explain the movements.

² Other continuous disclosure queries are queries (other than price queries) raised by ASX with listed entities when ASX has concerns the entity may not be in compliance with its continuous disclosure obligations under Listings Rules 3.1, 3.1A and 3.1B. Examples include a query made following a media report or an announcement lodged with ASX.

³Aware letters are sent by ASX following an announcement by a listed entity and ask for details of when the listed entity became aware of the material information contained in the announcement.

⁴ Figures exclude Special Settlement Participants set up to effect a specific corporate action as their participation is only temporary.

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ENFORCEMENT

Referrals to ASIC ⁵	November 2016 Month November 2015 Month November 2016 Financial YTD November 2015 Financial YTD
Continuous disclosure referrals Other referrals Total referrals to ASIC	1 4 12 14 0 0 2 5 1 4 14 19

Enforcement Matters	November 2016 Month November 2015 Month
Open ASX enforcement matters at month start New enforcement matters commenced during the month Enforcement matters concluded during the month Open ASX enforcement matters at month end Fines imposed duringthe month(excludingGST)	2 0 1 0 0 0 3 0 Nil Nil

ASX RULE CHANGES, WAIVERS AND EXEMPTIONS

• Details of rule and guidance note changes can be assessed online at: http://www.asx.com.au/regulation/rules/recent-rule-amendments.htm

• Details of waivers and exemptions granted by ASX can be accessed online at: http://www.asx.com.au/regulation/rules-guidance-notes-and-waivers.htm

• The weekly Australian Cash Market Report is available here: http://www.asx.com.au/services/trading services/australian-cash-market-report.htm

Further enquiries:

Media

Analysts/Investor Relations

Matthew Gibbs Stephen Hammon General Manager, Media and Communications General Manager, Finance Tel: +61 2 9227 0218 Tel: +61 2 9227 0260 Mobile: 0411 121219 Mobile: 0488 212755 matthew.gibbs@asx.com.au stephen.hammon@asx.com.au http://www.asx.com.au/about/media-releases.htm http://www.asx.com.au/about/investor-relations.htm

⁵ ASX is required, under sections 792B(2)(c) and 821B(2)(c) of the Corporations Act 2001, to refer a matter to ASIC if it has reason to suspect that a person has committed, is committing, or is about to commit a significant contravention of the ASX Group’s Operating Rules or the Corporations Act. It should be noted that a single referral may relate to more than one potential contravention. It should also be noted that the fact a matter has been referred to ASIC does not necessarily mean that a contravention has been committed or that ASIC will take enforcement proceedings in relation to it.

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