External User Testing Guidelines T+2 Settlement …

1 1 CHESS External user Testing Guidelines T+2 Settlement Released August 2015 CHESS External user Testing Guidelines T+2, August 2015 2 Contents General Information .. 3 Overview .. 3 Contact Details .. 3 Support and System Availability .. 3 Settlement Process / End of Day (EOD) Process .. 4 Connectivity .. 5 Network Details .. 5 Encryption / Security Keys .. 5 Test Kit Set Up .. 6 Test Kit Detail .. 6 Default Entrepot HINs .. 6 Payment Facilities .. 6 Message 7 Trade Processing .. 7 Trade Processing (AMO) Available from November 2015 .. 9 Corporate Actions .. 10 Change to Ex Period from 3 business days to 2 business days effective March 2016 .. 10 Appendix A .. 12 TA Equity Trade (Long Form) 124 Bytes (144 Bytes Signal B ) .. 12 TB Equity Trade (Short Form ) 81 Bytes (109 Bytes Signal B ).

2 13 TG Equity Trade Cancellation 133 Bytes (153 Bytes Signal B ) .. 14 APPENDIX B .. 15 CA Bonus Corporate Action 225 bytes .. 15 CA Dividend Payment Corporate Action 372 bytes .. 18 CA Dividend Payment Corporate Action 372 bytes .. 19 CA Interest Payment Corporate Action (Standard) 112 bytes .. 21 CA Interest Payment Corporate Action (Type CG) 112 23 CA Non Renounceable Corporate Action 282 bytes .. 25 CA Non Renounceable Corporate Action 282 bytes .. 26 CA Renounceable Corporate Action 314 bytes .. 28 CA Renounceable Corporate Action 314 bytes .. 29 CHESS External user Testing Guidelines T+2, August 2015 3 General Information Overview As no new or changes to CHESS Messages are required to be developed by CHESS Software Vendors, CHESS Accreditation is not a requirement for the implementation of T+2 Settlement .

3 To ensure customer readiness ASX will require a Technical Attestation from CHESS Software Vendors and an Operational Attestation from CHESS Participants to validate the readiness of each user . As part of readiness tracking CHESS Software Vendors and CHESS Clearing and Settlement Participants will be expected to test both a trade file and corporate action file to support the Attestations. These tests will be recorded by ASX as part of the go live sign off. The RTE (Release Test Environment) has been designed to enable users to create and test scenarios that occur in Production. From August 2015 trade files and corporate action reduced ex periods are available to test. The following changes will be available to test in RTE from November 2015 (date TBA): Trade Acceptance Service (TAS) modifications to cater for T+2 Changes to prevent cum and ex trades being netted together which are due to settle on the same Settlement day for a specific security.

4 The Batch cut off times will not be included as part of the test as the RTE already facilitates extended cut off. Test kits are provided with more than one PID to enable users to act as their own counterparty, and therefore complete test scenarios internally. All Testing should be undertaken in conjunction with referencing the External Interface Specification (EIS) manual and the ASX Settlement Procedure Guidelines (APG). These manuals are available via Please refer to the existing CHESS External user Testing Guidelines for all other CHESS test scenarios available in RTE. CHESS External user Testing Guidelines Contact Details CTS Customer Technical Support will be monitoring both Vendor and Participant readiness by liaising with the contacts you have provided ASX as the technical and business leads for your internal T+2 Settlement project.

5 As part of the CTS go live checks, CTS will require confirmation of your completed Testing . You can email any Testing queries in relation to T+2 trade files or corporate action files to CTS. Please include T+2 Settlement Testing AIC XXXXX in your email subject. The CTS team can be contacted as follows: Email: Phone: 1800 663 053; or if outside Australia +61 2 9227 0372 Support and System Availability The system is available from to (Sydney time). Support is available from to (Sydney time) on business days. Trade Files must be submitted no later than (Sydney time) on processing date. Submit files by email to with email subject line T+2 Settlement Testing AIC = / Trade File CHESS External user Testing Guidelines T+2, August 2015 4 Corporate Action Event Files / requests must be submitted no later than 11:00 am (Sydney time) the day prior to Ex date.

6 Submit files by email to with email subject line T+2 Settlement Testing AIC = / Corporate Action File Settlement Process / End of Day (EOD) Process Settlement process commences at EOD commences at CHESS External user Testing Guidelines T+2, August 2015 5 Connectivity Network Details Refer to allocated test kit document for confirmation of CHESS test UIC and Port number assigned to your test kit. The test kit document will provide one of the following CHESS UIC and Port numbers. CHESS Test UIC: 00044 Port: 4207 CHESS Test UIC: 00040 Port: 4210 CHESS Test UIC: 00044 Port: 4206 Release Test Environment IP Address: Radianz ASXiVPN Telstra Encryption / Security Keys Encryption is not required in the Release Test Environment. Each test kit will allow users to connect with or without encryption.

7 To test with encryption, the below listed security keys should be utilised. Type 1 Keys KVC Shipping Key 774E 1195 C539 93F5 CF09 28D1 909F 5F6F 6D80E2 MKX B368 05F0 7581 D2E1 3C5A 4 DBB 73EF 1268 8CB175 MKY EB93 9A5B 8E23 7EC5 95E7 8410 E9D1 839F 8D5651 Type 2 Keys Shipping Key part 1 C280 912A 20DA 1375 68B5 0E4A 0485 F8D0 255AF8 part 2 B5CE 80BF E5E3 8080 A7BC 269B 941A A7BF 184929 MKX B368 05F0 7581 D2E1 3C5A 4 DBB 73EF 1268 8CB175 MKY EB93 9A5B 8E23 7EC5 95E7 8410 E9D1 839F 8D5651 Type 3 Keys Shipping Key part 1 C280 912A 20DA 1375 68B5 0E4A 0485 F8D0 255AF8 part 2 B5CE 80BF E5E3 8080 A7BC 269B 941A A7BF 184929 MKX 39BF 9149 2392 A36B 0 DFA EABC 2632 FAB3 MKY 155B 9098 D000 A1E4 83AB B626 385C 532E CHESS External user Testing Guidelines T+2, August 2015 6 Test Kit Set Up Test Kit Detail Test kit details are supplied in a separate document at the time of test kit creation and include: AIC Access Identification Code PIDs Participant Identification Codes (including Offeror UIC) Issuer and Security codes If you do not have an RTE test kit please send a request advising your current port and AIC used in the External Test Environment.

8 For T+2 Settlement Testing , you can send your request by email to Default Entrepot HINs Default Entrepot HINs must be nominated and recorded in a CHESS default table to facilitate Settlement . When a test kit is created users can request default entrepot HINs to be created by ASX on their behalf. When this occurs the HINs are automatically recorded in the default table. Should users choose to create their own Entrepot HINs (via 201 messages), or change them, the HINs must be advised to CTS in order to record them in the CHESS default table. Payment Facilities All PIDs are allocated a default payment facility at the time of creation. HIN Specific payment facilities can be requested via email to please include HINs to be associated to Payment Facility. CHESS External user Testing Guidelines T+2, August 2015 7 Message Testing Trade Processing ASX will adopt a standard 2 business day Settlement Period for all trades conducted on ASX Trade from the proposed implementation date of 7 March 2016 onward.

9 In order to duplicate the 7 March 2016 effective date the RTE has been structured to accommodate CHESS System Vendors and Participants that may wish to perform Testing involving the 2 business day Settlement Periods. As there is no existing test link between ASX trading platform (ASX Trade) and CHESS, a trade simulator exists in order for users to receive 164 Notified Broker-Broker Trade messages. Trade files must be emailed to prior to 3:30pm (Sydney time) for same day processing. Trade files can be submitted to simulate the T+2 Settlement regime. The netting will occur for these trades on Settlement minus 2. To receive 164s please create a trade file in a text format ( extension must be .txt) and email The following procedures advise how to create a trade file based on signal B files (refer to appendix H).

10 1. Select TA or TB files as required (refer to Appendix A). Use the TA trade format if you require as at date, condition codes or basis of quotation. 2. Enter Issuer Codes as at ASX Trade production, November 2014. 3. Enter Security Code from ASX Trade production as at November 2014, if not leave three blank spaces. 4. Enter buying PID and selling PID (minus the leading zeros) from your test kit. 5. Alter sale price, sale volume and sale value as required. 6. Alter the Serial Trade Qualifier. This is made of the Julian date (calendar date). NB the Serial Trade Qualifier starts and ends in a zero. Examples as follows: 3rd January 2005, Julian date is 3, this should be shown in the trade file as 0030. 6th April 2005, Julian date is 96, this should be shown in the trade file as 0960. 18th May 2005, Julian date is 138, this should be shown in the trade file as 0380.