ASX LIMITED — Interim / Quarterly Report 2018

Dec 4, 2017

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5 December 2017 Australian Securities and Investments Commission ASX Market Announcements Office Mr Oliver Harvey ASX Limited Senior Executive Leader, Financial Market Infrastructure 20 Bridge Street Level 5, 100 Market Street SYDNEY NSW 2000 SYDNEY NSW 2000

ASX GROUP MONTHLY ACTIVITY REPORT – NOVEMBER 2017

Attached is a copy of the ASX Group Monthly Activity Report for November 2017.

Daniel Csillag Company Secretary

20 Bridge Street Sydney NSW 2000 PO Box H224 Customer service 13 12 79 Australia Square NSW 1215 asx.com.au

ASX Limited ABN 98 008 624 691

Market Announcement

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5 December 2017

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ASX Group Monthly Activity Report – November 2017

Listings and Capital Raisings

• In November 2017, total capital raised was $7.4 billion, up 33% on the previous corresponding period (pcp).

• In November 2017, total capital raised was $7.4 billion, u	p 33% on the pre	vious correspo	nding period	(pcp).
Listings and Capital Raisings	November	November	November	November
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
New listed entities admitted	21	22	62	69
De-listings	4	5	36	66
Total listed entities(at end of month)	2,265	2,207
Change onpcp	3%
Initial capital raised($million)	3,761	3,743	9,384	10,054
Change onpcp	1%		-7%
Secondarycapital raised($million)	3,368	1,563	17,812	18,279
Other capital raised includingscrip-for-scrip ($million)	251	226	5,312	1,981
Total secondarycapital raised($million)	3,619	1,789	23,124	20,260
Change onpcp	102%		14%
Total capital raised including other($million)	7,380	5,532	32,508	30,314
Change onpcp	33%		7%

Market Announcement 1/7

5 December 2017

Trading – Cash Markets (including equities, interest rate and warrant trades)

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• In November 2017, the average daily number of trades was 11% higher than the pcp. The average daily value traded on-market of $4.2 billion was down 9% on the pcp.

• Volatility (as measured by the average daily movement in the All Ordinaries Index) was 0.3% in November, in line with the previous month (0.3%).

• Expected future volatility (as measured by the S&P/ASX 200 VIX) in November was an average of 11.7 (compared to 11.3 in October).

• Expected future volatility (as measured by the S&P/A to 11.3 in October).	SX 200 VIX) in Nov	ember was an	average of 11	.7 (compared
Cash Markets	November	November	November	November
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Total trading days	22	22	109	109
(Cash market includes equity, warrant and interest rate market
transactions)
Cash market volume
Total trades	27,003,755	24,366,378	124,187,114	110,883,540
Change onpcp	11%		12%
Average dailytrades	1,227,443	1,107,563	1,139,331	1,017,280
Change onpcp	11%		12%
Cash market value
Open trading ($billion)	60.688	71.596	287.556	315.233
Auctions trading ($billion)	22.592	20.061	100.943	93.367
Centre Point($billion)	9.472	10.731	45.342	45.486
On-market value	92.752	102.388	433.841	454.086
Change onpcp	-9%		-4%
Trade reporting*($billion)	19.634	13.688	74.890	65.907
Total cash market value($billion)	112.386	116.076	508.731	519.993
Change onpcp	-3%		-2%
On-market average dailyvalue($billion)	4.216	4.654	3.980	4.166
Change onpcp	-9%		-4%
Total average dailyvalue($billion)	5.108	5.276	4.667	4.771
Change onpcp	-3%		-2%
Average valueper trade($)	4,162	4,764	4,096	4,690
Change onpcp	-13%		-13%

*Trade reporting means the value of trades executed outside the order book of ASX that is subsequently reported to ASX for publication

Market Announcement 2/7

5 December 2017

Trading – Futures

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• In November 2017, average daily futures and options on futures volumes were down 11% on the pcp. Average daily futures volume was down 11% and average daily options volume was down 33% on the pcp.

Futures	November	November	November	November
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Futures and options total trading days	22	22	109	109
(includes interest rate,ASX SPI 200,commodities and energycontracts)
Futures volume
Total contracts	10,423,965	11,658,394	58,771,519	54,489,934
Change onpcp	-11%		8%
Average dailycontracts	473,817	529,927	539,188	499,908
Options on futures volume
Total contracts	95,078	142,868	484,545	604,795
Change onpcp	-33%		-20%
Average dailycontracts	4,322	6,494	4,445	5,549
Total futures and options on futures volume
Total contracts	10,519,043	11,801,262	59,256,064	55,094,729
Change onpcp	-11%		8%
Average dailycontracts	478,138	536,421	543,634	505,456
Change onpcp	-11%		8%

Volume of futures trading by individual contract is available at the following link - http://www.asx.com.au/data/market reports/MonthlyFuturesMarketsReport171130.pdf

Clearing – OTC Markets

• In November 2017, the notional value of OTC interest rate derivative contracts centrally cleared was $638 billion, compared to $445 billion in the pcp. On 27 November 2017, ASX commenced clearing NZ$ OTC Interest Rate Derivatives within the service.

Derivatives within the service.
OTC Markets	November	November	November	November
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Total notional cleared value*($billion)	637.512	445.396	2,667.788	1,813.457
Change onpcp	43%		47%
Open notional cleared value* ($billion)	3,672.446	1,981.494
(at end of month)
Change on pcp	85%
*Cleared notional value is double sided(includes NZ$200m)

Market Announcement 3/7

5 December 2017

Trading – Equity Options

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• In November 2017, the average daily number of exchange-traded options was down 24% on the pcp. Single stock options average daily contracts traded were down 26% and index options average daily contracts traded were down 5% on the pcp.

down 5% on the pcp.
Equity Options	November	November	November	November
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Exchange-traded options total trading days	22	22	109	109
(includes single stock equityoptions and index options)
Single stock equityoptions volume
Total contracts	6,285,782	8,534,064	35,728,174	36,533,865
Change onpcp	-26%		-2%
Average dailycontracts	285,717	387,912	327,781	335,173
Index options volume
Total contracts	1,135,452	1,192,086	5,146,803	4,696,732
Change onpcp	-5%		10%
Average dailycontracts	51,611	54,186	47,218	43,089
Total options volume
Total contracts	7,421,234	9,726,150	40,874,977	41,230,597
Change onpcp	-24%		-1%
Average dailycontracts	337,329	442,098	375,000	378,262
Change onpcp	-24%		-1%

Clearing – Exchange-Traded Markets

• Participant margin balances held on balance sheet at month-end totalled $7.8 billion in November 2017 compared to $5.8 billion in November 2016.

• Participant margin balances held on balance sheet at to $5.8 billion in November 2016.	month-end totalle	d $7.8 billion in	November 20	17 compared
ASX Clearing Corporation	November	November	November	November
	2017	2016	2017	2016
	Month	Month	Financial	Financial
Collateral Balances – At End of Month			YTD	YTD
Cash margins held on balance sheet:
- ASX Clear($billion)	0.6	0.5
- ASX Clear(Futures) ($billion)	7.0	5.1
Cash equivalents held on balance sheet – ASX Clear	0.2	0.2
(Futures) ($billion)
Collateral cash cover held off balance sheet (equities	3.4	3.7
andguarantees)– ASX Clear($billion)
Total billable cash market value cleared($billion)	106.109	113.358	494.237	504.794

Market Announcement 4/7

5 December 2017

Settlement

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• The value of securities held in CHESS was 14% higher than the pcp. The number of dominant settlement messages in November 2017 was 6% lower than the pcp.

• The value of securities held in Austraclear was 2% lower than the pcp.

• The value of securities held in Austraclear was 2% l	ower than the pcp.
ASX Settlement	November	November	November	November
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Value of CHESS holdings –period end($billion)	1,943.8	1,706.0
Dominant settlement messages(million)	1.533	1.626	7.340	7.932
Austraclear Settlement and Depository
Austraclear securities holdings – period end	1,901.1	1,940.0
($billion)

Listings Compliance Activity

Listings Compliance Activity
Listing Compliance Activity	November	November	November	November
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Total companyannouncements	13,083	11,721	61,603	57,685
Pricequeries byASX ¹	37	25	147	188
Other continuous disclosurequeries byASX ²	23	30	92	132
Aware letters sent byASX ³	3	8	35	46
Announcements made followingapricequery	25	18	105	119
Number of tradinghalts	189	129	735	671
Number of suspensions	46	29	223	198

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.

Market Announcement 5/7

5 December 2017

Participants

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• During November 2017, there were no admissions or resignations.

• During November 2017, there were no admissions or re	signations.
ASX Market Participants4	November	November
	2017	2016
	Month	Month
New admissions	0	0
Resignations and removals	0	0
Market/Clearing/Settlement Participants at month end	122	121
ASX Futures Participants
New admissions	0	0
Resignations and removals	0	1
Trading/ClearingParticipants at month end	56	51

Enforcement

Enforcement
Referrals to ASIC5	November	November	November	November
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Continuous disclosure referrals	0	1	4	12
Other referrals	0	0	3	2
Total referrals to ASIC	0	1	7	14
Enforcement Matters	November	November
	2017	2016
	Month	Month
Open ASX enforcement matters at month start	3	2
New enforcement matters commenced during the	0	1
month
Enforcement matters concluded duringthe month	0	0
Open ASX enforcement matters at month end	3	3
Fines imposed duringthe month($excludingGST)	Nil	Nil

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

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.

Market Announcement 6/7

5 December 2017

ASX Rule Changes, Waivers and Exemptions

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• Details of rule and guidance note changes can be accessed 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/tradingservices/australian-cash-market-report.htm

Further enquiries:

Media

Analysts/Investor Relations

Matthew Gibbs Stephen Hammon General Manager, Media and Communications General Manager, Finance T +61 2 9227 0218 T +61 2 9227 0260 M 0411 121 219 M 0488 212 755 E matthew.gibbs@asx.com.au E stephen.hammon@asx.com.au http://www.asx.com.au/about/media-releases.htm http://www.asx.com.au/about/investor-relations.htm

Market Announcement 7/7

5 December 2017