ASX LIMITED — Interim / Quarterly Report 2018

Sep 4, 2017

5 September 2017

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 – AUGUST 2017

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

Daniel Csillag Company Secretary

ASX Limited ABN 98 008 624 691

20 Bridge Street Sydney NSW 2000

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

MARKET ANNOUNCEMENT

5 September 2017

ASX GROUP MONTHLY ACTIVITY REPORT – AUGUST 2017

The value of ASX-listed stocks, as measured by the All Ordinaries Index, remained flat in August 2017. This was in line with the US and in contrast to other major markets, including Hong Kong up 2.4%, the UK up 0.8%, Singapore down 1.6%, Japan down 1.4%, and Germany down 0.5%.

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

• Volatility (as measured by the average daily movement in the All Ordinaries Index) was 0.4% in August, down on the previous month (0.6%).

• Expected future volatility (as measured by the S&P/ASX 200 VIX) in August was an average of 13.5 (compared to 13.4 in July).

LISTINGS AND CAPITAL RAISINGS

• In August 2017, total capital raised was $5.8 billion, down 7% on the previous corresponding period (pcp).

Listings and Capital Raisings

August 2017 Month August 2016 Month August 2017 Financial YTD August 2016 Financial YTD

New listed entities admitted 4 16 16 28 De-listings 9 34 18 40 Total listed entities (at end of month) 2,237 2,192 Change on pcp 2% Initial capital raised ($million) 487 2,551 1,917 3,975 Change on pcp -81% -52% Secondary capital raised ($million) 4,620 3,014 7,765 9,941 Other capital raised including scrip-for-scrip ($million) 731 720 1,124 998 Total secondary capital raised ($million) 5,351 3,734 8,889 10,939 Change on pcp 43% -19% Total capital raised including other ($million) 5,838 6,285 10,806 14,914 Change onpcp -7% -28%

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

• In August 2017, the average daily number of trades was 12% higher than the pcp. The average daily value traded on-market of $4.2 billion was up 1% on the pcp.

Cash Markets

August 2017 Month August 2016 Month August 2017 Financial YTD August 2016 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

23 23 44 44 25,888,396 23,069,725 49,064,340 43,647,231 12% 12% 1,125,582 1,003,032 1,115,099 991,983 64.350 66.910 120.063 125.171 20.682 18.267 40.924 35.065 10.666 9.322 18.977 16.525 17.700 14.979 29.699 25.070 113.398 109.478 209.663 201.831 4% 4% 4.161 4.109 4.090 4.017 1% 2% 4.930 4.760 4.765 4.587 4% 4% 4,380 4,746 4,273 4,624 -8% -8% 2.170 1.566 3.540 2.185 111.228 107.912 206.123 199.646

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TRADING – FUTURES

• In August 2017, average daily futures and options on futures volumes were up 15% on the pcp. Average daily futures volume was up 16% and average daily options volume was down 25% on pcp.

Futures	August 2017 Month August 2016 Month August 2017 Financial YTD August 2016 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	23 23 44 44 8,863,013 7,658,247 20,925,316 16,186,132 16% 29% 385,348 332,967 475,575 367,867 79,541 106,201 195,914 251,652 -25% -22% 3,458 4,617 4,453 5,719 8,942,554 7,764,448 21,121,230 16,437,784 15% 28% 388,807 337,585 480,028 373,586

Volume of futures trading by individual contract is available at the following link - http://www.asx.com.au/data/market reports/MonthlyFuturesMarketsReport170831.pdf

CLEARING – OTC MARKETS

• In August 2017, the notional value of OTC interest rate derivative contracts centrally cleared was $474 billion, compared to $300 billion in the pcp.

OTC Markets	August 2017 Month August 2016 Month August 2017 Financial YTD August 2016 Financial YTD
Total notional cleared value ($billion) Change on pcp Open notional cleared value ($billion) (at end of month) Change on pcp *Cleared notional value is double sided	474.370 299.554 1,095.501 597.630 58% 83% 3,334.883 1,652.707 102%

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TRADING – EQUITY OPTIONS

• In August 2017, the average daily number of exchange-traded options was up 17% on the pcp. Single stock options average daily contracts traded were up 19% on the pcp and index options average daily contracts traded were up 4% on the pcp.

Equity Options	August 2017 Month August 2016 Month August 2017 Financial YTD August 2016 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	23 23 44 44 8,948,308 7,549,322 15,922,406 14,088,081 19% 13% 389,057 328,231 361,873 320,184 962,977 929,649 1,868,250 1,816,320 4% 3% 41,869 40,420 42,460 41,280 9,911,285 8,478,971 17,790,656 15,904,401 17% 12% 430,925 368,651 404,333 361,464 17% 12%

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CLEARING – EXCHANGE-TRADED MARKETS

• Participant margin balances held on balance sheet at month-end totalled $6.6 billion in August 2017 compared to $5.6 billion in August 2016.

ASX Clearing Corporation Collateral Balances – At End of Month	August 2017 Month August 2016 Month August 2017 Financial YTD August 2016 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)	0.6 0.7 5.8 4.7 0.2 0.2 3.5 3.6 108.488 105.116 203.587 196.448

SETTLEMENT

• The value of securities held in CHESS was 9% higher than the pcp. The number of dominant settlement messages in August 2017 was 4% lower than the pcp.

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

ASX Settlement	August 2017 Month August 2016 Month August 2017 Financial YTD August 2016 Financial YTD
Value of CHESS holdings – period end ($billion) Dominant settlement messages(million)	1,819.3 1,673.2 1.6 1.7 2.9 3.3
Austraclear Settlement and Depository
Austraclear securities holdings – period end ($billion)	1,881.0 1,918.3

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LISTINGS COMPLIANCE ACTIVITY

Listing Compliance Activity	August 2017 Month August 2016 Month August 2017 Financial YTD August 2016 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	12,690 12,348 22,249 22,039 26 45 50 97 18 31 43 62 7 9 17 18 22 21 37 58 126 144 248 278 28 37 69 76

PARTICIPANTS

• During the month of August, Somers & Partners resigned as an ASX Participant. Financial Market Engineering Limited and Susquehanna Pacific Pty Ltd were admitted as ASX Futures Participants.

ASX Market Participants⁴	August 2017 Month August 2016 Month
New admissions Resignations and removals Market/Clearing/Settlement Participants at month end	0 0 1 0 120 121
ASX Futures Participants
New admissions Resignations and removals Trading/ClearingParticipants at month end	2 0 0 0 52 52

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	August 2017 Month August 2016 Month August 2017 Financial YTD August 2016 Financial YTD
Continuous disclosure referrals 0 2 2 7 Other referrals 1 1 2 1 Total referrals to ASIC 1 3 4 8
Enforcement Matters	August 2017 Month August 2016 Month
Open ASX enforcement matters at month start 6 1 New enforcement matters commenced during the month 0 0 Enforcement matters concluded during the month 0 0 Open ASX enforcement matters at month end 6 1 Fines imposed duringthe month($excludingGST) Nil Nil

ASX RULE CHANGES, WAIVERS AND EXEMPTIONS

• 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/trading services/australian-cash-market-report.htm

Further enquiries:

Analysts/Investor Relations

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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