Technical Briefing Pack - Internet Participants
Contents
1. ASX SETTLEMENT CORPORATION Technical Briefing Pack Internet Participant Austraclear System Release 3 Aug v3 2011 ASX Settlement Corporation Internet Technical Brief ASX TABLE OF CONTENTS PLETE ANU CIA EEE E E E E T A E A A E A 1 INTRODUCTION nonnii innana sanaan NAUNET AAA TAA aAA ERE ANE a AEEA aaa EAA 3 About this Document ccccccesescessessssessessecseceesseseeseesseseessessessaesaesaesanseeseeseessassaesaesaeserserscassessassaesarsarsarsensensenseas 3 BAKO UN ae S E E 3 Client Workstation Requirements ssssssssusunnnnnnununununnnnnnunununnnnnnnnunununnnnnnnnnnununnnnnnnnununnnnnnananunnnnnannnnnnannnnnnnnananannn nnana 4 Software Requirements scecceccscsscsssssssscssssecsecessessessesessessessesseseeseesacsassasseseeserseesaesaesasaseesaesaesassassesensensansaneas 4 BEUOWEUCESI O11010 1110 ASETI 5 Network Infrastructure amp Security Requirements sssssssssssssssnnnnununnnnnnunununnnnnnnnunununnnnnnnnnnununnnnnnnnannnnnnnnanannnnnnnnnnananan 6 Network and Security Requirements cccccssessccssrssscsssrsccsserssecesesaecessesaesassesaecaseeseesaseesansaseesaseesatsasensaneasentan 6 System Connectivity Typical COnfiguration cccscsssssssscrssessscsssessscsssessscessesescessesaeceseesaseeseesaseesaseesersateesensas 7 INTUTE UG TMCS gees aces senscccaiceeaeeeiccaceatosocertguisceetcasasadsnesaeatitesasseecaoanchseaacaseece auch nseateeeesertceaosdeusenscanteetooedtck 8 Fak2. net 1 1 service pack 1 ie net 1 1 service pack 1 must not be removed 2 upgrade Internet Explorer to a version that meets the software requirements listed in Table 1 3 If the XP machine is not automatically patched by Windows Root Certificate Updates then a root certificate must be installed called VeriSign Class 3 Public Primary Certification Authority G5 Current Release 2 uses the root certificate called Class 3 Public Primary Certification Authority Windows 7 PC s should already have this root certificate installed as default This certificate can be downloaded from Verisign at http www verisign com support roots html 4 For Browser deployment users Users who click on the web link to launch the GUI the new updated version of Weblauncher Weblauncherlnstaller_R1394 msi must be installed along side the existing version of Weblauncher WebLauncherlnstaller_V18 msi Both versions can coexist on the same PC However please note that clicking on the new link to launch the Release 3 GUI will overwrite the Release 2 GUI in the user s windows profile space Vice versa clicking on the current link to launch the Release 2 GUI will overwrite the Release 3 GUI This means that every time the user switches between Release 2 and 3 GUl s they will be required to download the GUI again However both GUI s can be used side by side after the download For File deployment users both Release 2 and 3 GUI s can be installed side by side o
3. and something you have an authenticator an lt token providing a much more reliable level of user authentication than a reusable password The 3 factors are Username amp password digital certificate and RSA token TTL is set by an authoritative name server for a particular resource record When a caching name server queries the authoritative name Time To Live aaa server for a resource record it will cache that record for the defined period in seconds set as a TTL Universal Resource An address for resource available on the Internet eg Locater www asx com au This file was provided by the vendor to ensure that assemblies are secure when downloaded This file also gives access to run the program The security policy file will be delivered as MSI Microsoft Installer once downloaded for browser deployment only Three Factor Three Factor Authentication Authentication Security Policy Security Policy 2011 ASX Settlement Pty Limited ABN 49 008 504 532 14 ASX Settlement Corporation Internet Technical Brief ASX Disclaimer amp Copyright Disclaimer This participant briefing pack has been prepared by ASX Limited and its related bodies corporate ASX ABN 98 008 624 691 and is intended to provide information regarding updates on System functionality guidance on industry wide test procedures and general aspects of the Austraclear System s structure ASX reserves the right at any time with or without no
4. access to the Austraclear Release 3 Production TCP 443 Environment 203 15 145 78 HTTPS ALLOW Allow access to the Austraclear Release 3 online A TCP 443 A environment 203 15 146 75 HTTPS ALLOW Allow access to Release 3 Test Environment TCP 443 203 15 146 78 HTTPS ALLOW Allow access to Release 3 Test online Help TCP 443 203 15 147 70 DNS UDP 53 Allow access to ASX DNS systems where required to 903 15 147 74 allow austraclear com au names to be resolved DNS TCP IP Configuration The design of the Austraclear environment makes provision for dynamic failover between Austraclear processing sites for Business Continuity purposes TTL or Time To Live should be set to recommended setting of 30 seconds It is important that Participants make use of DNS based name resolution wherever possible Details are shown in Table 5 In Austraclear Release 2 the authoritative name servers for the domain austraclear com au are 203 18 165 215 and 59 154 35 23 After Go Live of Austraclear Release 3 the name servers will be updated to 203 15 147 70 and 203 15 147 74 Participants will be notified in advance on the weekend that this change occurs Other than the firewall rules required as listed above no other work is required by the participant for this DNS change Changes for the name server records in the austraclear com au domain will be propagated to the internet over a weekend Table 5 Application access via DNS https asx austraclear
5. also be obtained on CD from Microsoft Please note that you need to be logged in with Administrator rights to install the Microsoft Net Framework as you would normally do when installing operating system software Internet Explorer 7 0 or 8 0 can be downloaded from the Microsoft website http www microsoft com downloads 2011 ASX Settlement Pty Limited ABN 49 008 504 532 4 ASX Settlement Corporation Internet Technical Brief ASX Hardware Specifications The recommended PC specification for the ASX Austraclear Release 3 system is shown below ASX testing has indicated that performance improvements can be realised with increases in processor speed and memory Table 2 Recommended Hardware Requirements Hardware Requirements Specifications Intel Core 2 3 16 GHz Or AMD equivalent PC client Memory RAM Monitor amp screen resolution 17 1024 x 768 30M per Windows user prof 2011 ASX Settlement Pty Limited ABN 49 008 504 532 5 ASX Settlement Corporation Internet Technical Brief ASX Network Infrastructure amp Security Requirements This section outlines minimum Network infrastructure and Security requirements for connecting to the ASX Austraclear Release 3 system Network and Security Requirements Table 3 Network and Security Requirements Production Requirements ASX Responsible Austraclear Internet connectivity 256Kbps Participant ee ee ee Firewall ports required to be ope
6. com au Online Help https asxhelp austraclear com au Test Environment https asxta austraclear com au Test Online Help https asxtahelp austraclear com au 2011 ASX Settlement Pty Limited ABN 49 008 504 532 9 ASX Settlement Corporation Internet Technical Brief ASX BCP DR Configuration Requirements Access to the ASX Austraclear Release 3 system from your BCP DR site will also be via the Internet The ASX advises a recommended minimum connection speed of 256Kbps per active user for Internet connectivity to the ASX Austraclear Release 3 system You will need to ensure that the appropriate configuration is implemented at your BCP DR site In addition you will also need to ensure that you have the following available e AnRSA token ACE card at your DR site so that you can authenticate to the ASX firewall Please check availability of a RSA token e Client Side Digital Certificate please note that the original client side digital certificate will need to be exported for use on your DR PC please see the CSDC Import amp Export Procedures on the ASX Austraclear website Security Application authentication in the ASX Austraclear Release 3 System is currently controlled through various security Controls Aside from all users will be required to use a Digital Certificate and a username password pair for application authentication Security controls include e End to end encryption of data between the client and server u
7. X Austraclear Release 3 System Proxy Servers A proxy server is one which sits between a web browser and a real server It intercepts all requests to the real server to see if it can fulfil the requests itself and if not forwards the request to the real server It also can be used to filter requests i e to prevent users from accessing a specific web page or sites There are two common types of proxy configuration e Authenticating o Manual requires all users to authenticate when browsing internet sites o Automatic Integrated allows users to browse internet sites automatically using a common authentication integrated to each of the user ids e Non Authenticating The ASX Austraclear Release 3 system is designed to work with proxy servers that support HTTP 1 1 RFC2616 Please note that the deployment of the ASX Austraclear system differs according to which method of authentication is used Please see the appropriate user manual for further details These will be made available on the ASX Austraclear websites in due course 1 week prior to IWT http www asx com au professionals asx austraclear technical documents htm Go Live http www asx com au professionals asx austraclear technical documents htm SS n EE n N SS 2011 ASX Settlement Pty Limited ABN 49 008 504 532 8 ASX Settlement Corporation Internet Technical Brief ASX Table 4 Firewall Rules Required Site aes moe O 203 15 145 75 HTTPS ALLOW Allow
8. e Ace STUC U cone eee enter ee eee enna ee een ee ee ee eee 8 Pantenan Ma UCU E eee eee eee eee eee eee 8 DNS TCP IP Configuratii lt cesteetecace anatecternarasetusteceun sqanabse anansecautecesnen tscnateedaganiasacostustertanacastessananinects 9 BCP DR Configuration REQUIREMCIIS ccscccssccscanszecaveccdacensscetaseeeesecnosnsdavenssocteevoudaescdepesinateantacdasenorsaceanesteacnouseaeuts 10 TC III A E E E A E eos avi yneuci E E E E S 10 Internet ASX Austraclear USCIS ccccccsssssssssssssssssesssssssecessessesessesseseeseesaesaesessesseseeserseesaesansasaseesersansansansas 10 Deployment of the Client Software ssssssssususususunnsununununununununununununununununununnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnn nananana na 11 Deployment Models s ssssssessnersnssssesnsrersrsrssenssnrnrnrnsrsnsrunnrnnnsrsrnrnnntannnrsrnrnnunatnnnsnnnsnnnanntnnnnnnnnannnnnnnnnnnnnnnnnenanne 11 Browser DO COIOV MOM scecnaiesiccenaiveucwscussauonsnvssdeaecssesennnccdcesedewe ausuouncusiteeestetcecuniieddwn apengedauenss iaiia anaandaa 11 FN SOOT A E E E E E E E E 11 EGET AIS niei e mE E E E E E E E E E E E E EE 11 Se TU ror IWT and GOLIVE anette tence ino E 12 D ployme nt and ISON UNOS srini n aaea aaaea aikana RNa Eana Aaaa Aaii 13 Frequently Asked Questions sssssssusususususunusunununnnunununununununununununnnununununununnnunnnununnnnnununnnnnnnnnnnnnnnnnnnnnnnnnnn nnana nnan nn na 13 GIOS SAY siori E a E onpdanadouseesneenev
9. ece ecebcds 14 DISCIaMEr amp OPV PICU sosna aea aaa aa aAa EEEa SEa aAA e aa TE 15 2011 ASX Settlement Pty Limited ABN 49 008 504 532 2 ASX Settlement Corporation Internet Technical Brief ASX INTRODUCTION About this Document This is the technical briefing paper for the ASX Austraclear Release 3 system and will supersede the previously published paper once Release 3 is implemented into Production Its purpose is to assist Participant technology Staff in the implementation of the Austraclear Release 3 system The information in this document applies to Participants who operate in Australia or overseas This document does not cover the functionality of the replacement system For further information regarding the content of this document or the ASX Austraclear system please send any enquires by email to Exigo asx com au Background The ASX Austraclear system is a next generation Central Securities Depository CSD system that utilises an open architecture with a Windows Graphical User Interface GUI front end Client The system s Release 3 provided improvement onto technical requirements and architecture as well as additional and improved functionalities The ASX Austraclear system is a Net Windows Forms application and can be deployed either by browser deployment or file deployment further information provided in Section 4 The Client application connects to a central web service utilising Microsoft Net technolog
10. ented to the application Without these items a user will not be able to login Please see the Technical FAQ s for further details regarding Digital Certificates 2011 ASX Settlement Pty Limited ABN 49 008 504 532 11 ASX Settlement Corporation Internet Technical Brief ASX PC Setup for IWT and Go Live ASX Austraclear recommends use of PCs that are separate from the current Production environment for testing during IWT which would then become the new Production PCs at go live This approach will minimize any impacts to existing Production PC s used for current Release 2 However if necessary and while not recommended participants can set up existing production PCs to also be used for Release 3 IWT and therefore go live Participants must note that running both Release 2 and 3 GUI s on the same PC during IWT poses an operational risk to the user To mitigate this risk the Release 3 GUI during IWT will be coloured yellow to assist users in differentiating the versions The Release 3 GUI will automatically revert to the standard grey colour at go live Using the same PC for Release 2 and 3 may also pose a technical risk if any installation delays are experienced during deployment by participant s internal IT Additional set up is required if this approach is to be taken the details of which are provided below 1 install net to a version that meets the software requirements listed in Table 1 along side the existing install of
11. ication This model ensures that each time you initiate the login procedure the web launcher will check for updates to the underlying application The web launcher Security policy needs to be installed initially in order to configure the trust relationship between the client and the middle tier File Deployment This model enables a user to install the ASX Austraclear system on the local PC client The installation file can be downloaded from the ASX Austraclear website and allows the application to be packaged and distributed if necessary It will require some intervention on the Participant s part to download and install the most recent version of software periodically This model is launched from the Start menu or by using a shortcut and doesn t require the use of the browser to execute the system Digital Certificates Users of the ASX Austraclear system will be required to enrol in the ASX controlled Certificate Authority CA Once the user has been validated a certificate will be issued and downloaded into the users Web browser This certificate will be exportable E g installed at a Participant BCP DR site Use of this exportable capability is a security policy decision owned by the Participant ASX does not take responsibility for the management of the certificate and authentication process with Participant s operations When logging into the application a valid certificate and username and password pair will need to be pres
12. ies See Diagram 1 below Diagram 1 ASX Austraclear System Architecture Overview Client Tier Middle Tier Database Tier WinForms NET Client DATABASE Web Services COMMON GUI SSS N Ea 2011 ASX Settlement Pty Limited ABN 49 008 504 532 3 ASX Settlement Corporation Internet Technical Brief ASX Client Workstation Requirements Software Requirements The following table outlines the software requirements for the ASX Austraclear Release 3 system The Participant is responsible for the supply installation and support of the required Software as specified below and the Hardware required for the Release 3 system Table 1 Software Requirements Software Requirements Responsible Microsoft Windows XP Professional Service pack 3 Participant Microsoft Windows 7 32 bit or 64 bit Microsoft Internet Explorer 7 0 or 8 0 Participant Microsoft Net Framework version 3 5 Service Pack 1 Participant The Microsoft Net Framework can be downloaded from the Microsoft web site http www microsoft com downloads en resultsForProduct aspx displaylang en amp ProductID de7bb609 3fd0 4b0f 865d 5ed2463ad5d0 amp nr 10 amp sortCriteria Popularity amp sortOrder Ascending amp stype ss_sd The Microsoft Net Framework Redistributable package includes everything necessary to run applications developed using the Net Framework You are only required to install the Redistributable and NOT the SDK version This Framework can
13. n the same PC Both can be launched and used at the same time 2011 ASX Settlement Pty Limited ABN 49 008 504 532 12 ASX Settlement Corporation Internet Technical Brief ASX Deployment and user guides All the relevant documentation and user guides relating to the deployment and installation of both the ASX Austraclear system and the related digital certificates will be made available on the ASX Austraclear websites in due course 1 week prior to IWT http Awww asx com au professionals asx austraclear technical documents htm Go Live http Awww asx com au professionals asx austraclear technical documents htm Frequently Asked Questions An FAQ register is available on the ASX Austraclear Website in the business section and is updated regularly a O A 2011 ASX Settlement Pty Limited ABN 49 008 504 532 13 ASX Settlement Corporation Internet Technical Brief ASX Glossary Tem Definition Meaning ANNI Austraclear National The network supported by the ASX that provides access to the Network Infrastructure Austraclear RITS amp ACNZ systems Authentication Establishes the credentials of a user as an authorised user Server based technology designed to provide web based services with Net Net Framework minimal need for manual software installation on the desktop For more details see http www microsoft com net The process by which data is temporarily re arranged into an Data Encryption Data Encryptio
14. n unreadable or unintelligible form for confidentiality transmission or other security purposes A Digital Certificate is the electronic version of an ID card that Digital Certificates Digital Certificates establishes your credentials and authenticates your connection when performing transactions over the Internet The Domain Name System is the system that translates Internet Domain Name System domain names into IP numbers A DNS Server is a server that performs this kind of translation The part of the application with which the user interacts Windows Graphical User Interface applications interact graphically HTML Hyper Tax Markup The language used to create Web pages and read by a browser anguage HTTP wee 1 Manele The protocol used for Internet HTML web pages Protocol HTTPS ee ee lane The protocol used for Secure Internet HTML web pages Protocol Secure intemereier inane Software provided by Microsoft used to browse the Internet Used to P P view and interact with HTML pages A simultaneous electronic transfer and settlement system for Commonwealth Government Securities This facility has now been largely transferred to the Austraclear system Secure Sockets laver This is an industry wide standard for encrypting data securely across y the Internet via the HTTP and HTTPS protocols RITS Reserve Bank Information amp Transfer System Three Factor authentication is based on something you know password or PIN
15. ned HTTP TCP Port 80 X HTTPS TCP port 443 X Participant DNS TCP UDP port 53 X Client Side Digital Certificates ox Participant RSA Token ACE Card X Participant The ASX advises a recommended minimum connection speed of 256Kbps per user connection for Internet connectivity to the ASX Austraclear Release 3 system 2011 ASX Settlement Pty Limited ABN 49 008 504 532 6 ASX Settlement Corporation Internet Technical Brief ASX System Connectivity Typical Configuration Diagram 3 Internet Participant Typical Configuration New EXIGO amp RITS RBNZ typical configuration Internet Participam Participant Production DRS Austraclear Client TOP Part S HTTP Ti Par ddi HITS TOPAADP Por 52 ORS internnet Router 2011 ASX Settlement Pty Limited ABN 49 008 504 532 7 ASX Settlement Corporation Internet Technical Brief ASX Network Infrastructure ASX Infrastructure The ASX advises a recommended minimum connection speed of 256Kbps per active user connectivity for Internet connectivity to the ASX Austraclear system Internet connections are the responsibility of the Participant and may include such methods as ADSL Cable Broadband Wireless via an ISP or an existing Participant Internet connection possibly via a Proxy Server firewall Participant Infrastructure Participant Internet Austraclear Internet Participants will use their existing internet connections to access the AS
16. sing SSL e Three factor application authentication e Comprehensive password policies e Automatic application lock for idle users Internet ASX Austraclear users From a network perspective ASX Austraclear users will be required to authenticate to the ASX firewall using the RSA token which will then allow access into the system s middle tier Once past this point standard application procedures apply The system requires the following protocols HTTP TCP port 80 HTTPS TCP port 443 DNS TCP UDP port 53 It should be noted that connections will not be initiated from the ASX network to the participant site As such Participants should only allow connections to be initiated outbound to the ASX Austraclear system with established connections also allowed through firewalls router access control lists 2011 ASX Settlement Pty Limited ABN 49 008 504 532 10 ASX Settlement Corporation Internet Technical Brief ASX Deployment of the Client Software Deployment Models The ASX Austraclear Release 3 system is installed as a Net Windows Forms application There are two options available to deploy the Client on your desktop workstation Browser Deployment This model enables a user to deploy the software using their browser via a regular web address URL By clicking on the appropriate link on the ASX Austraclear website the weblauncher is initiated which will carry out the initial download and execution of the appl
17. tice to change any proposed project specifications and timeline The information contained in this participant briefing pack has been compiled from sources believed to be reliable and in good faith but no representation or warranty express or implied is made as to their accuracy To the extent permitted by law ASX and its employees officers and contractors shall not be liable for any loss or damage arising in any way including by way of negligence from or in connection with any information provided or omitted or from any one acting or refraining to act in reliance on this participant briefing pack Copyright ASX Limited ABN 98 008 624 691 2011 All rights reserved 2011 ASX Settlement Pty Limited ABN 49 008 504 532 15
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