ASX Business Continuity Management Testing Schedule Oct ...

1 Copyright 2020 ASX Operations Pty Limited ABN 42 004 523 782. All rights reserved 2020. ASX Business Continuity Management Testing Schedule Apr 2020 to Sep 2020 The intended audience for this Schedule is Business Continuity Managers, Operations Managers, Compliance Managers, and Technical Service Managers. To provide further clarity in the planning of ASX s Business Continuity Management (BCM) tests, an updated summary of ASX s planned tests from April 2020 to September 2020 is provided below. This summary provides details on the impacted services and associated key dates. Please note: Testing dates are subject to ASX Secondary Data Centre migrations occurring prior to the scheduled test date for each system Service Area Configuration Date Business Start Date Business Finish Date Cutback Date Derivatives Market Services Genium Clearing 16-May 2020 18-May-2020 22-May-2020 23-May-2020 BBSW 04-Jul-2020 06-Jul-2020 10-Jul-2020 11-Jul-2020 OTC Calypso 01-Aug-2020 03-Aug-2020 07-Aug-2020 08-Aug-2020 Participant SSO Web Portal includes (Trade Accept, Clear Futures Simulator, FlexClear, Margin Control Portal, Static Data Portal, PFG) 22-Aug-2020 24-Aug-2020 28-Aug-2020 29-Aug-2020 Cash Market Clearing CHESS, SWIFT 23-May 2020 25-May-2020 29-May-2020 30-May-2020 DCS (Derivatives Clearing System) inc.

2 IMSCL, WMS, WMI, CME SPAN, MES 01-Aug-2020 03-Aug-2020 07-Aug-2020 08-Aug-2020 Cash Market Services ASX Websites (ASXO nline, , ASXG roup, Customer Portal) 06-Jun-2020 08-Jun-2020 12-Jun-2020 13-Jun-2020 Market Announcements Platform (MAP) 13-Jun-2020 15-Jun-2020 19-Jun-2020 20-Jun-2020 Austraclear Austraclear, ASX Collateral, SWIFT, Margin (Estimator, Simulator), CMS IMSCLF Grains Delivery System 04-Jul-2020 06-Jul-2020 10-Jul-2020 11-Jul-2020 Copyright 2020 ASX Operations Pty Limited ABN 42 004 523 782. All rights reserved 2020. BCM Testing in ASX BCM Testing is a key component of ASX s operational risk Management framework. ASX s BCM Testing framework seeks to enable ASX to rapidly recover and resume critical operations following an operational service disruption. ASX maintains a program of regular BCM tests for its external facing platforms and updates and publishes the program every three months.

3 The notification of individual service area BCM tests will be made by the appropriate notice with a minimum 60 day notification period provided to Participants for each test. Further instructions for each specific BCM test will be provided in the notification. The program consists of the following: Annual - ASX Trade BCM tests will be scheduled on a weekend and will be conducted on the production environment and include service and network failures. Annual - NTP BCM tests will be scheduled on a weekend and will be conducted on the production environment and include service and network failures. One to Two Years - ASX schedules BCM tests for its other externally facing systems on a planned rotation factoring in other ASX requirements. These BCM tests are generally conducted by configuring the system to run in re verse configuration for either one Business day or for the entire week.

4 ASX BCM tests of trading systems are performed on a weekend to a pre-advised Schedule , with connectivity only made available to Participants that have confirmed their participation in the test. Participants will need to follow the specific instructions of the associated notification. The following is general information regarding ASX BCM tests of non-trading systems. These points may however be adjusted by the specific notification relating to the advised BCM test. For participants: Procedures are generally not changed as a result of the BCM test There is generally no requirement to perform any configurations for the BCM test. The ASX: Validates access to each system as part of the failover process, and additional Participant validation is not required unless advised Runs each key system in reverse configuration, meaning that full system redundancy is available for the duration of the BCM test Ensures that there is no service degradation as a result of the BCM tests, as the external facing BCM systems are full replica environments.

5 Do not fail over any aspect of the network access infrastructure solution unless specifically advised. The available ASX support for each BCM test will be provided with the associated notice. Customer Technical Support Contact Details Customers should raise any queries regarding this notice through their normal support channels, otherwise contact Customer Technical Support either via email on or phone 1800 663 053 (or +61 2 9227 0372 from outside of Australia). The trademarks listed below are trademarks of ASX. Where a mark is indicated as registered, it is registered in Australia and may also be registered in other countries. Nothing contained in this document should be construed as being any licence or right to use of any trademark contained within the document. Austraclear , ASX