ASX LIMITED — Interim / Quarterly Report 2017

Feb 2, 2017

3 February 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 – JANUARY 2017

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

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 February 2017

ASX GROUP MONTHLY ACTIVITY REPORT – JANUARY 2017

The value of ASX-listed stocks, as measured by the All Ordinaries Index, fell 0.8% in January 2017. This performance was lower than most major markets, including Hong Kong up 6.2%, Singapore up 5.8%, the US up 0.8%, and Germany up 0.5%. Declines were observed in Japan, down 0.4% and the UK down 0.6%.

Volatility measures for the Australian equity market were mixed during January:

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

• Expected future volatility (as measured by the S&P/ASX 200 VIX) rose in January to an average of 13.1 (compared to 11.9 in December).

LISTINGS AND CAPITAL RAISINGS

• In January 2017, total capital raised was $0.8 billion, up 160% on the previous corresponding period (pcp).

Listings and Capital Raisings

January 2017 Month January 2016 Month January 2017 Financial YTD January 2016 Financial YTD

New listed entities admitted 9 3 95 80 De-listings 6 31 81 90 Total listed entities (at end of month) 2,218 2,210 Change on pcp - Initial capital raised ($million) 99 37 11,179 13,514 Change on pcp 168% -17% Secondary capital raised ($million) 614 232 24,233 35,829 Other capital raised including scrip-for-scrip ($million) 140 60 2,277 5,561 Total secondary capital raised ($million) 754 292 26,510 41,390 Change on pcp 158% -36% Total capital raised including other ($million) 853 329 37,689 54,904 Change onpcp 160% -31%

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

• In January 2017, the average daily number of trades was 1% lower than the pcp. The average daily value traded on-market of $3.6 billion was 7% lower than the pcp.

Cash Markets

January 2017 Month January 2016 Month January 2017 Financial YTD January 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

20 19 149 149 18,992,925 18,222,770 149,977,132 128,313,652 4% 17% 949,646 959,093 1,006,558 861,165 -1% 17% 50.038 54.958 421.300 445.073 15.683 14.826 129.342 118.527 7.019 4.518 61.053 40.243 11.457 7.152 87.975 82.879 84.197 81.454 699.670 686.722 3% 2% 3.637 3.911 4.105 4.053 -7% 1% 4.210 4.287 4.696 4.609 -2% 2% 4,433 4,470 4,665 5,352 -1% -13% 1.989 0.527 9.578 9.279 82.208 80.927 690.092 677.442

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TRADING – FUTURES

• In January 2017, average daily futures and options on futures volumes were down 18% on the pcp. Average daily futures volume was down 17% and average daily options volume was down 57% on the pcp.

Futures	January 2017 Month January 2016 Month January 2017 Financial YTD January 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	21 20 150 150 7,838,553 8,993,472 76,169,252 71,514,954 -13% 7% 373,264 449,674 507,795 476,766 58,273 129,140 766,418 1,048,825 -55% -27% 2,775 6,457 5,109 6,992 7,896,826 9,122,612 76,935,670 72,563,779 -13% 6% 376,039 456,131 512,904 483,759 -18% 6%

Volume of futures trading by individual contract is available at the following link - http://www.asx.com.au/data/market reports/MonthlyFuturesMarketsReport170131.pdf

CLEARING – OTC MARKETS

• In January 2017, the notional value of OTC interest rate derivative contracts centrally cleared was $368 billion, compared to $154 billion in the pcp.

OTC Markets	January 2017 Month January 2016 Month January 2017 Financial YTD January 2016 Financial YTD
Total notional cleared value ($billion) Open notional cleared value ($billion) (at end of month) * Cleared notional value is double sided	367.929 154.366 2,527.611 971.811 2,083.935

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TRADING – EQUITY OPTIONS

• In January 2017, the average daily number of exchange-traded options increased 8% on the pcp. Single stock options average daily contracts traded were up 15% on the pcp and index options average daily contracts traded were down 32% on the pcp.

Equity Options	January 2017 Month January 2016 Month January 2017 Financial YTD January 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	20 19 149 149 6,901,028 5,715,344 52,141,887 49,765,467 21% 5% 345,051 300,808 349,946 333,996 697,552 980,903 6,277,500 7,182,212 -29% -13% 34,878 51,626 42,131 48,203 7,598,580 6,696,247 58,419,387 56,947,679 13% 3% 379,929 352,434 392,076 382,199 8% 3%

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CLEARING – EXCHANGE-TRADED MARKETS

• Participant margin balances held on balance sheet at month-end totalled $5.9 billion in January 2017 compared to $4.3 billion in January 2016.

ASX Clearing Corporation Collateral Balances – At End of Month	January 2017 Month January 2016 Month January 2017 Financial YTD January 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)	0.5 0.8 5.2 3.3 0.2 0.2 3.7 3.1 81.571 80.969 680.856 661.999

SETTLEMENT

• The value of securities held in CHESS was 18% higher than the pcp. The number of dominant settlement messages in January 2017 was in line with the pcp.

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

ASX Settlement	January 2017 Month January 2016 Month January 2017 Financial YTD January 2016 Financial YTD
Value of CHESS holdings – period end ($billion) Dominant settlement messages(million)	1,757.2 1,486.1 1.2 1.2 10.6 9.6
Austraclear Settlement and Depository
Austraclear securities holdings – period end ($billion)	1,966.2 1,865.7

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LISTINGS COMPLIANCE ACTIVITY

Listing Compliance Activity	January 2017 Month January 2016 Month January 2017 Financial YTD January 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	7,737 7,270 74,718 73,561 25 41 234 176 26 8 177 173 4 1 58 44 23 32 156 141 72 54 854 728 17 21 258 242

PARTICIPANTS

• During the month of January there were no admissions, resignations or removals.

ASX Market Participants⁴	January 2017 Month January 2016 Month
New admissions Resignations and removals Market/Clearing/Settlement Participants at month end	0 0 0 0 121 120
ASX Futures Participants
New admissions Resignations and removals Trading/ClearingParticipants at month end	0 0 0 0 52 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	January 2017 Month January 2016 Month January 2017 Financial YTD January 2016 Financial YTD
Continuous disclosure referrals 1 0 15 14 Other referrals 1 0 3 5 Total referrals to ASIC 2 0 18 19
Enforcement Matters	January 2017 Month January 2016 Month
Open ASX enforcement matters at month start 3 0 New enforcement matters commenced during the month 4 0 Enforcement matters concluded during the month 0 0 Open ASX enforcement matters at month end 7 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:

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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