ASX LIMITED — Interim / Quarterly Report 2018

Oct 4, 2017

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5 October 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 – SEPTEMBER 2017

Attached is a copy of the ASX Group Monthly Activity Report for September 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 October 2017

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ASX Group Monthly Activity Report – September 2017

The value of ASX-listed stocks, as measured by the All Ordinaries Index, fell 0.5% in September 2017. This performance was similar to other major markets, including Singapore down 1.7%, Hong Kong down 1.5% and the UK down 0.8%. Germany was up 6.4%, Japan up 3.6% and the US up 1.9%.

Volatility measures for the Australian equity market remained relatively low in September:

• Volatility (as measured by the average daily movement in the All Ordinaries Index) was 0.3% in September, down on the previous month (0.4%).

• Expected future volatility (as measured by the S&P/ASX 200 VIX) in September was an average of 12.7 (compared to 13.5 in August).

Listings and Capital Raisings

• In September 2017, total capital raised was $8.0 billion, up 139% on the previous corresponding period (pcp).

Listings and Capital Raisings	September	September	September	September
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
New listed entities admitted	12	5	28	33
De-listings	4	10	22	50
Total listed entities(at end of month)	2,245	2,187
Change onpcp	3%
Initial capital raised($million)	1,394	144	3,311	4,119
Change onpcp	868%		-20%
Secondarycapital raised($million)	3,252	2,873	11,017	12,814
Other capital raised includingscrip-for-scrip ($million)	3,350	335	4,474	1,333
Total secondarycapital raised($million)	6,602	3,208	15,491	14,147
Change onpcp	106%		10%
Total capital raised including other($million)	7,996	3,352	18,802	18,266
Change onpcp	139%		3%

Market Announcement 1/7

5 October 2017

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

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• In September 2017, the average daily number of trades was 9% higher than the pcp. The average daily value traded on-market of $3.8 billion was down 10% on the pcp.

Cash Markets	September	September	September	September
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Total trading days	21	22	65	66
(Cash market includes equity, warrant and interest rate market
transactions)
Cash market volume
Total trades	23,421,250	22,449,067	72,485,590	66,096,298
Change onpcp	4%		10%
Average dailytrades	1,115,298	1,020,412	1,115,163	1,001,459
Change onpcp	9%		11%
Cash market value
Open trading ($billion)	52.832	62.892	172.895	188.063
Auctions trading ($billion)	19.589	21.353	60.513	56.418
Centre Point($billion)	8.408	9.423	27.385	25.948
Trade reporting*($billion)	12.932	15.245	42.631	40.315
Total value($billion)	93.761	108.913	303.424	310.744
Change onpcp	-14%		-2%
Average dailyvalue on-market($billion)	3.849	4.258	4.012	4.097
Change onpcp	-10%		-2%
Average dailyvalue($billion)	4.465	4.951	4.668	4.708
Change onpcp	-10%		-1%
Average valueper trade($)	4,003	4,852	4,186	4,701
Change onpcp	-17%		-11%
Non-billable value(above cap) ($billion)	2.205	1.745	5.745	3.930
Total billable value($billion)	91.556	107.168	297.679	306.814

*Trade reporting means the value of trades executed outside the order books of ASX or Chi-X that is subsequently reported to ASX for publication

Market Announcement 2/7

5 October 2017

Trading – Futures

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• In September 2017, average daily futures and options on futures volumes were up 17% on the pcp. Average daily futures volume was up 17% and average daily options volume was down 6% on pcp.

Futures	September	September	September	September
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Futures and options total trading days	21	22	65	66
(includes interest rate,ASX SPI 200,commodities and energycontracts)
Futures volume
Total contracts	17,385,593	15,554,527	38,310,909	31,740,659
Change onpcp	12%		21%
Average dailycontracts	827,885	707,024	589,399	480,919
Options on futures volume
Total contracts	90,015	100,324	285,929	351,976
Change onpcp	-10%		-19%
Average dailycontracts	4,286	4,560	4,399	5,333
Total futures and options on futures volume
Total contracts	17,475,608	15,654,851	38,596,838	32,092,635
Change onpcp	12%		20%
Average dailycontracts	832,172	711,584	593,798	486,252
Change onpcp	17%		22%

Volume of futures trading by individual contract is available at the following link - http://www.asx.com.au/data/market reports/MonthlyFuturesMarketsReport170929.pdf

Clearing – OTC Markets

 In September, the notional value of OTC interest rate derivative contracts centrally cleared was $486 billion, compared to $446 billion in the pcp.

OTC Markets	September	September	September	September
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Total notional cleared value*($billion)	485.867	446.487	1,581.368	1,044.117
Change onpcp	9%		51%
Open notional cleared value* ($billion)	3,288.164	1,741.256
(at end of month)
Change on pcp	89%
*Cleared notional value is double sided

Market Announcement 3/7

5 October 2017

Trading – Equity Options

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• In September 2017, the average daily number of exchange-traded options was down 4% on the pcp. Single stock options average daily contracts traded were down 5% on the pcp and index options average daily contracts traded were up 10% on the pcp.

Equity Options	September	September	September	September
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Exchange-traded options total trading days	21	22	65	66
(includes single stock equityoptions and index options)
Single stock equityoptions volume
Total contracts	7,060,944	7,798,816	22,983,350	21,886,897
Change onpcp	-9%		5%
Average dailycontracts	336,235	354,492	353,590	331,620
Index options volume
Total contracts	996,956	951,326	2,865,206	2,767,646
Change onpcp	5%		4%
Average dailycontracts	47,474	43,242	44,080	41,934
Total options volume
Total contracts	8,057,900	8,750,142	25,848,556	24,654,543
Change onpcp	-8%		5%
Average dailycontracts	383,710	397,734	397,670	373,554
Change onpcp	-4%		6%

Clearing – Exchange-Traded Markets

• Participant margin balances held on balance sheet at month-end totalled $6.6 billion in September 2017 compared to $5.2 billion in September 2016.

ASX Clearing Corporation	September	September	September	September
	2017	2016	2017	2016
	Month	Month	Financial	Financial
Collateral Balances – At End of Month			YTD	YTD
Cash margins held on balance sheet:
- ASX Clear($billion)	0.6	0.7
- ASX Clear(Futures) ($billion)	5.8	4.3
Cash equivalents held on balance sheet – ASX Clear	0.2	0.2
(Futures) ($billion)
Collateral cash cover held off balance sheet (equities	3.5	3.5
andguarantees)– ASX Clear($billion)
Total billable cash market value cleared($billion)	91.829	104.243	295.416	300.691

Market Announcement 4/7

5 October 2017

Settlement

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• The value of securities held in CHESS was 8% higher than the pcp. The number of dominant settlement messages in September 2017 was 10% lower than the pcp

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

ASX Settlement	September	September	September	September
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Value of CHESS holdings –period end($billion)	1,826.6	1,692.7
Dominant settlement messages(million)	1.5	1.6	4.4	4.9
Austraclear Settlement and Depository
Austraclear securities holdings – period end	1,881.7	1,927.1
($billion)

Listings Compliance Activity

Listings Compliance Activity
Listing Compliance Activity	September	September	September	September
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Total companyannouncements	12,003	11,345	34,252	33,384
Pricequeries byASX ¹	24	26	74	123
Other continuous disclosurequeries byASX ²	9	18	52	80
Aware letters sent byASX ³	6	8	23	26
Announcements made followingapricequery	19	14	56	72
Number of tradinghalts	143	135	391	413
Number of suspensions	41	38	110	114

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.

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5 October 2017

Participants

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• During the month of September, Vivienne Court Trading Pty Ltd was admitted as an ASX Participant.

ASX Market Participants4	September	September
	2017	2016
	Month	Month
New admissions	1	0
Resignations and removals	0	0
Market/Clearing/Settlement Participants at month end	121	121
ASX Futures Participants
New admissions	0	0
Resignations and removals	0	1
Trading/ClearingParticipants at month end	52	51

Enforcement

Enforcement
Referrals to ASIC5	September	September	September	September
	2017	2016	2017	2016
	Month	Month	Financial	Financial
			YTD	YTD
Continuous disclosure referrals	1	3	3	10
Other referrals	0	1	2	2
Total referrals to ASIC	1	4	5	12
Enforcement Matters	September	September
	2017	2016
	Month	Month
Open ASX enforcement matters at month start	6	1
New enforcement matters commenced during the	0	0
month
Enforcement matters concluded duringthe month	1	1
Open ASX enforcement matters at month end	5	0
Fines imposed duringthe month($excludingGST)	50,000	50,000

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 October 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

Joanne McNamara

T +61 2 9227 0500

M 0432 806 231

• E joanne.mcnamara@asx.com.au

Analysts/Investor Relations

Stephen Hammon General Manager, Finance

• T +61 2 9227 0260 M 0488 212 755

• E stephen.hammon@asx.com.au

Market Announcement 7/7

5 October 2017