ASX LIMITED — Interim / Quarterly Report 2017

Nov 2, 2016

3 November 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 MONTHLY ACTIVITY REPORT – OCTOBER 2016

Attached is a copy of the Monthly Activity Report for October 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

3 November 2016

ASX GROUP MONTHLY ACTIVITY REPORT – OCTOBER 2016

The value of ASX-listed stocks, as measured by the All Ordinaries Index, fell 2.2% in October 2016. This performance was in contrast to some major markets, including Japan up 5.9%, Germany up 1.5% and the UK up 0.8%. Declines were also observed in Singapore down 1.9%, the US down 1.9% and Hong Kong down 1.6%.

Volatility measures for the Australian equity market decreased during October:

• Volatility (as measured by the average daily movement in the All Ordinaries Index) was 0.5% in October, down on the previous month (0.6%).

• Expected future volatility (as measured by the S&P/ASX 200 VIX) fell in October to an average of 14.1 (compared to 14.4 in September).

LISTINGS AND CAPITAL RAISINGS

• In October 2016, total capital raised was $6.5 billion, down 45% on the previous corresponding period (pcp).

Listings and Capital Raisings

October 2016 Month October 2015 Month October 2016 Financial YTD October 2015 Financial YTD

New listed entities admitted 14 9 47 44 De-listings 11 4 61 48 Total listed entities (at end of month) 2,190 2,216 Change on pcp -1% Initial capital raised ($million) 2,192 4,318 6,311 9,757 Change on pcp -49% -35% Secondary capital raised ($million) 3,902 5,892 16,716 23,257 Other capital raised including scrip-for-scrip ($million) 422 1,545 1,755 4,999 Total secondary capital raised ($million) 4,324 7,437 18,471 28,256 Change on pcp -42% -35% Total capital raised including other ($million) 6,516 11,755 24,782 38,013 Change onpcp -45% -35%

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

• In October 2016, the average daily number of trades was 20% higher than the pcp. The average daily value traded on-market of $3.9 billion was 2% higher than the pcp.

Cash Markets

October 2016 Month October 2015 Month October 2016 Financial YTD October 2015 Financial YTD

Total trading days (Cash market includes equity, warrant and interest rate market transactions) 21 22 87 88 Cash market volume Total trades 20,420,864 17,762,530 86,517,162 73,102,925 Change on pcp 15% 18% Average daily trades 972,422 807,388 994,450 830,715 Change on pcp 20% 20% Cash market value Open trading ($billion) 55.574 62.370 243.637 271.179 Auctions trading ($billion) 16.888 14.976 73.306 68.386 Centre Point ($billion) 8.807 6.003 34.755 24.534 Trade reporting ($billion) 11.904 12.384 52.219 51.700 Total value ($billion) 93.173 95.733 403.917 415.799 Change on pcp -3% -3% Average daily value on-market ($billion) 3.870 3.789 4.043 4.137 Change on pcp 2% -2% Average daily value ($billion) 4.437 4.352 4.643 4.725 Change on pcp 2% -2% Average value per trade ($) 4,563 5,390 4,669 5,688 Change on pcp -15% -18% Non-billable value (above cap) ($billion) 1.302 0.673 5.232 4.476 Total billable value ($billion) 91.871 95.060 398.685 411.323 Trade reporting means the value of trades executed outside the order books of ASX or Chi-X that is subsequently reported to ASX forpublication

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TRADING – FUTURES

• In October 2016, average daily futures and options on futures volumes were up 25% on the pcp. Average daily futures volume was up 26% and average daily options volume was down 30% on the pcp.

Futures

October 2016 Month October 2015 Month October 2016 Financial YTD October 2015 Financial YTD

Futures and options total trading days (includes interest rate, ASX SPI 200, commodities and energy contracts) 21 22 87 88 Futures volume Total contracts 11,090,881 9,187,920 42,831,540 41,233,864 Change on pcp 21% 4% Average daily contracts 528,137 417,633 492,317 468,567 Options on futures volume Total contracts 109,951 165,342 461,927 600,064 Change on pcp -34% -23% Average daily contracts 5,236 7,516 5,310 6,819 Total futures and options on futures volume Total contracts 11,200,832 9,353,262 43,293,467 41,833,928 Change on pcp 20% 3% Average daily contracts 533,373 425,148 497,626 475,386 Change onpcp 25% 5%

Volume of futures trading by individual contract is available at the following link - http://www.asx.com.au/data/market reports/MonthlyFuturesMarketsReport161031.pdf

CLEARING – OTC MARKETS

• In October 2016, the notional value of OTC interest rate derivative contracts centrally cleared was $324 billion, compared to $207 billion in the pcp.

OTC Markets	October 2016 Month October 2015 Month October 2016 Financial YTD October 2015 Financial YTD
Total notional cleared value ($billion) 323.944 206.507 1,368.061 525.866 Open notional cleared value ($billion) (at end of month) * Cleared notional value is double sided 1,837.651 584.467

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TRADING – EQUITY OPTIONS

• In October 2016, the average daily number of exchange-traded options decreased 1% on the pcp.

Single stock options average daily contracts traded were up marginally on the pcp and index options average daily contracts traded were down 11% on the pcp.

Equity Options

October 2016 Month October 2015 Month October 2016 Financial YTD October 2015 Financial YTD

Exchange-traded options total trading days (includes single stock equity options and index options) 21 22 87 88 Single stock equity options volume Total contracts 6,112,904 6,378,129 27,999,801 30,756,358 Change on pcp -4% -9% Average daily contracts 291,091 289,915 321,837 349,504 Index options volume Total contracts 737,000 867,704 3,504,646 4,140,243 Change on pcp -15% -15% Average daily contracts 35,095 39,441 40,283 47,048 Total options volume Total contracts 6,849,904 7,245,833 31,504,447 34,896,601 Change on pcp -5% -10% Average daily contracts 326,186 329,356 362,120 396,552 Change onpcp -1% -9%

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CLEARING – EXCHANGE-TRADED MARKETS

• Participant margin balances held on balance sheet at month-end totalled $5.1 billion in October 2016 compared to $4.5 billion in October 2015.

ASX Clearing Corporation Collateral Balances – At End of Month	October 2016 Month October 2015 Month October 2016 Financial YTD October 2015 Financial YTD
Cash margins held on balance sheet: - ASX Clear ($billion) 0.6 0.7 - ASX Clear (Futures) ($billion) 4.3 3.7 Cash equivalents held on balance sheet – ASX Clear (Futures) ($billion) 0.2 0.1 Collateral cash cover held off balance sheet (equities and guarantees) – ASX Clear ($billion) 3.6 3.5 Total billable cash market value cleared($billion) 90.745 91.811 391.436 400.524

SETTLEMENT

• The value of securities held in CHESS was 9% higher than the pcp. The number of dominant settlement messages in October 2016 was 4% higher than the pcp.

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

ASX Settlement	October 2016 Month October 2015 Month October 2016 Financial YTD October 2015 Financial YTD
Value of CHESS holdings – period end ($billion) 1,657.1 1,526.2 Dominant settlement messages(million) 1.5 1.4 6.4 5.5
Austraclear Settlement and Depository
Austraclear securities holdings – period end ($billion) 1,939.7 1,843.9

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LISTINGS COMPLIANCE ACTIVITY

Listing Compliance Activity	October 2016 Month October 2015 Month October 2016 Financial YTD October 2015 Financial YTD
Total company announcements 12,580 13,113 45,964 44,889 Price queries by ASX ¹ 40 23 163 87 Other continuous disclosure queries by ASX ² 22 24 102 122 Aware letters sent by ASX ³ 12 7 38 27 Announcements made following a price query 29 23 101 72 Number of trading halts 129 125 542 429 Number of suspensions 55 49 169 144

PARTICIPANTS

• During the month of October Tradelink LLC was admitted as an ASX Futures Participant.

ASX Market Participants⁴	October 2016 Month October 2015 Month
New admissions 0 1 Resignations and removals 0 0 Market/Clearing/Settlement Participants at month end 121 121
ASX Futures Participants
New admissions 1 1 Resignations and removals 0 1 Trading/ClearingParticipants at month end 52 56

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	October 2016 Month October 2015 Month October 2016 Financial YTD October 2015 Financial YTD
Continuous disclosure referrals 1 3 11 10 Other referrals 0 1 2 5 Total referrals to ASIC 1 4 13 15

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