ASX SFTP External User Guide
Contents
1. Pur TY Private Key Files pp 7 5 Right click the Pegeant icon and select View Key The selected private key is displayed Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 13 ASX Limited ASX SFTP External User Guide Pageant Key List leshtsa 2048 7b 1 ad d 55 9 5d 0c M4 16 17 89 0a H 5a c0 rsa key 20131114 Add Rey Remove Key Help Close 6 Start psftp exe PSFTP command window will be launched T psftp gt open ftptest asx com au open a connection to ASX SFTP server 8 For the first time connection PSFTP will ask if you trust the host and add the rsa2 key to cache Enter y E D Program Files 486 PuTTY psftp exe psftp no hostname specified use open host name to connect psftp gt open gmft2h1 login as CCC _Douwn load The server s host key is not cached in the registry You have no guarantee that the server is the computer you think 1t is E The server s rsald key Fingerprint is ssh rsa 1424 ed cs a 36 898 f2 1 43 f3 33 hc 6c 35 9c da 3e If you trust this host enter y to add the key to s cache and carry on connecting TF you want to carry on connecting just once without n LL a connection Store key in cache Cyrn yo 9 Enter username 10 psftp gt ls list directories in remote server 11 psftp gt cd 20131213 change directory to where the f2. OTC_Intraday1_CAL_Client_ 3 CHAR FIRM CODE zip OTC_Intraday2_CAL_ 3 CHAR FIRM CODE zip OTC_Intraday2_CAL_Client_ 3 CHAR FIRM CODE zip OTC_Adhoc_CAL_ 3 CHAR FIRM CODE zip OTC_Adhoc_CAL_Client_ 3 CHAR FIRM CODE zip OTC_Adhoc_FSA_ 3 CHAR FIRM CODE zip OTC_EOD_CAL_ 3 CHAR FIRM CODE zip 14 OTC EOD CAL Client 3 CHAR FIRM CODE zip 1 OTC EOD CMS 3 CHAR FIRM CODE zip d OTC EOD DS 3 CHAR FIRM CODE zip 11 OTC EOD DS Client 3 CHAR FIRM CODE zip 12 OTC EOM Client 3 CHAR FIRM CODE zip YYYYMMDD IE OTC _Intraday1_CAL_ 3 CHAR FIRM CODE zip IE OTC Intraday1 CAL Client 3 CHAR FIRM CODE zip Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 6 ASX Limited 3 1 2 3 2 3 2 1 ASX SFTP External User Guide OTC Client Clearing Reports For direct OTC Client reporting the structure will be the same however reduced OTC_REPORTS_ lt Three char client entity code gt e YYYYMMDD OTC_ lt frequency gt _ lt source system if applicable gt _ lt Three char client entity code gt zip SFTP Proposed Folder Structure Client Entity y OTC_REPORTS_MNEMONIC 3 CHAR CLIENT ENTITY CODE YYYYMMDD j OTC EOD CAL CLIENT 3 CHAR CLIENT CODE zip IE OTC EOD DS CLIENT 3 CHAR CLIENT CODE zip YYYYMMDD 1 OTC EOD CAL CLIENT 3 CHAR CLIENT CODE zip j OTC EOD DS CLIENT 3 CHAR CLIENT CODE zip ETD Folder Structure ETD
3. ASX SFTP External User Guide EMS EM ESI 31 538 E FGF FL pu ASX Limited ASX SFTP External User Guide Table of Contents Te SOLUTION OVERVIEW SR cu o a eee 3 1 1 BUSINESS CONTINUITY SOLUTION ao des lille 3 1 2 USER MANDAR AUDIENCES dd dead dei deea ilir aodain 3 Zi REQUESTING SFIP ACCES S iaaa a aaa N 4 2 1 SAC COUNT a dti nant A ne 4 2 2 AUTHENTICATION SOM KEY USAGES aaa Ne eds 4 2 3 ACCOUNT PERMISSIONS mn Ni aes 5 2 4 SIMULTANEOUS LOGIN dica 5 2 9 PC COUNREONCES e E RR 5 di SETE FOLDER STRUCTURE Sissi ios 6 3 1 OTG FOLDER STRUCTURE raine a E E E E E A O 6 3 1 1 OTC Clearing Participant FRC DOIG sce ren ea 6 Oe OTC Client Clearing R PONSE RS ed cee Ve teeth nara aaa dens aad 3 2 E TE FOLDER STRUCTURES Rent ana dad ne tentes 7 3 2 1 ETO Clearing PANICIDANERODONS asas arraia da nee 3 2 2 ET CHORE CICANhO ca 8 3 3 REPORT DISTRIBUTION SCHEDULE A tes PS DEAR RT aies 8 A ACCESSING REPOR Sia dd asda alado da aaa tn nu 9 5 CUSTOMER FIREWALL CONFIGURATIONS ccococcoccoocooconccnoccnccnconconcancancnconcon can con can can cn nan carr rrnrancncn 10 62 APPENDIX T WINDOWS SFI Pa ad 11 6 1 GENERATING AN SSH KEY ON WINDOWS USING PUTTY cccccceccecssscsecsecsscsessseesesseseesaecsseessesseseusaesatsates 11 6 2 USING PSFTP COMMANDS TO SFTP FILES WITH WINDOWS ccccccccssssssssesssssserssssesseseesesersersersansanses 13 Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserve
4. Fie key Conversions Help Kep Public key for pasting into OpenSSH authorized keys file ssh rsa AAAARSN za vce BJ AA CE An PA nH SET F ul mm pela T OCT 38 ADM gpibeOgF hy plumb qokM PRBE w zA Era RP CAE Cv CO A selos OU bos 04 dif Zeb PD az 9TA 285 08 8 08 or a94h Eu PIRFS sy 6F ulbet5kG vapCleyvyulS5T O92 DubtluAml aT SkA brkiT Bl6nG nc O6 Pi hd Kep fingerprint ssh rsa 2048 78 6d a2 93 31 86 8760 96 65 75 b0 9d 31 01 d6 Key comment rsa key 201 31211 Key passphrase Confirm passphrase Actions Generate a public private key pair Load an existing private key file Load Save the generated key Save public key Save private key Parameters Type of key to generate SSH ASA f SSH 2 ASA SSH 2054 Number of bits in a generated key 2048 6 Enter a key comment which will identify the key useful when you use several SSH keys 7 It is optional to type in the passphrase and confirm it The passphrase is used to protect your key However you will be asked for it when you connect via SSH 8 Click Save private key to save your private key 9 Click Save public key to save your public key 10 Provide the public key to the ASX Customer Service Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 12 ASX Limited ASX SFTP External User Guide 6 2 Using PSFTP Commands to SFTP Files with Windows To download reports from the ASX SFTP server via Windows 1
5. Clearing Participant Reports The following structure will be assessable for the ETD Clearing Participants on the SFTP server ETD_REPORTS_ lt Three char Clearing Participant entity code gt YYYYMMDD ETD_ lt frequency gt _ lt source system if applicable gt _ lt Three char Clearing Participant entity code gt e ETD_ lt frequency gt _ lt source system if applicable gt CLIENT lt Three char firm or client entity code gt Note unlike the OTC structure these files will not be zipped sFTP Proposed Folder Structure CP ETD REPORTS lt 3 character Firm Code gt di ETD lt frequency gt lt source system if applicable gt lt 3 char Firm Code gt zip Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 T ASX Limited 3 2 2 3 3 ASX SFTP External User Guide ETD Client Clearing Reports For direct ETD Client reporting the structure will be the same however reduced ETD_REPORTS_ lt Three char client entity code gt YYYYMMDD e ETD_ lt frequency gt _ lt source system if applicable gt lt Three char client entity code gt sFTP Proposed Folder Structure Client ETD REPORTS lt 3 character Client Entity Code gt EM ETD lt frequency gt lt source system if applicable gt CLIENT lt 3 char Client Entity Code gt zip Note unlike the OTC structure these files will not be zipped Report Distribution Schedule The distribution of reports will vary between se
6. Download Pegeant SSH authentication agent and PSFTP SFIP client from the PUTTY website 2 Start Pegeant exe A Pegeant icon will appear on the system tray Mew Session Saved Sessions F view Keys Add Key Help About e A muit 7 06 PM 3 Right click the icon and select Add Key Pageant will bring up a file dialog labelled Select Private Key File 4 Find your private key file in this dialog and press Open 3 5 Yo E Computer PT5G205 SYSTEM C Ts Organize views New Folder FORPRE Name Date modified Type Size Tac Favorite Links Recycle Bin 14 11 2013 11 4 File Folder BE Desktop 795116410b32489e 19 03 2010 11 4 File Folder E Computer de ACM 10 12 2013 2 30 File Folder de Documents Boot 24 03 2010 2 45 File Folder Pictures 2 Documents and Setti 20 01 2008 1 23 File Folder B Music de PerfLogs 19 01 2008 9 11 File Folder de Program Files 14 08 2013 3 37 File Folder dy Recently Changed e Program Files x86 5 06 2013 4 45 PM File Folder de Searches ProgramData 14 09 2013 2 05 File Folder de Public de sftp powershell script 26711 2013 5 34 File Folder System Volume Infor 18 03 2010 8 48 File Folder 13 12 2013 6 27 File Folder de Tools 18 11 20138 11 File Folder d Users 12 08 2013 11 5 File Folder Le Windows 20 10 2013 9 13 File Folder Folders A 4 gt File name
7. contained within the document ASX Limited O Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 15
8. d 2014 2 ASX Limited 1 1 1 2 ASX SFTP External User Guide Solution Overview To facilitate delivery of reports to Customers ASX Clear Futures Clearing Participants OTC and or Futures and their clients ffom ASX a Secure File Transfer Protocol SFTP service is being made available at ASX Reports will need to be collected by the Customer from the SFTP service The production SFTP solution domain name is FTP ASX COM AU ASX also provide a replica solution for the testing services which has a domain name of FTPtest ASX COM AU SFTP provides end to end encryption of data between the SFTP client and server Authentication to the SFTP server will require creation of SSH keys that will be registered in the SFTP server Business Continuity Solution The ASX production solution will have a replicated Business Continuity instance ASX will have a single presentation of the domain name meaning ASX Customers will not need to make any changes in an event of an ASX site issue It is the responsibility of the ASX Customer to validate access from their primary and secondary sites and ensure the SSH keys are configured correctly and access to ASX SFTP is regularly tested User Manual Audience The ASX SFTP External User Guide is to provide technical administrators of ASX Customers the necessary detail to connect to the ASX SFTP server and collect reports Users of the ASX SFPT Service will initially be ASX Clear Futures Clea
9. e key is retained by the requester and the public SSH key is provided to ASX An SSH key combination can be utilised by more than one account The key ensures that a very strong password is used for access to the SFTP and that no manual intervention to enter a password is required EA Note ASX enforces use of 2048 bit genertated SSH 2 RSA keys For ASX Customers to be able to download reports from the SFTP server customers will need to provide ASX with their public key and Public IP address in addition to the SFTP Account OS X or Linux users can generate a key pair utilising the ssh keygen command E g ssh keygen t dsa example only O Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 4 ASX Limited 2 3 2 4 2 5 ASX SFTP External User Guide Microsoft users can utilise Appendix 1 Windows SFTP for key generation and usage guidelines Account Permissions Accounts provided for approved ASX customers will have the following access rights permissions on the SFTP server e Download reports View their own folders Resume transfers Simultaneous Login Multiple simultaneous logins are not allowed per Account on ASX SFTP Account Policies The following account policy settings have been configured Settings Security Standard Account Lockout A banning function will be used to ban an attacker IP for a period of time when a number of unsuccessful password attempts are detec
10. ence appropriately The details are provided as example only ASX will not provide support for PuTTY utilities PUTTY support calls will need to be directed to the vendor 6 1 Generating an SSH Key on Windows using PuTTY More details of this tool can be found at Pul TY To generate an SSH Key on Windows using PuTTY 1 Download and start the puttygen exe generator g PuTTY Key Generator File Key Conversions Help Ley Mo key Actions Generate a public private key pair Generate Load an existing private key file Load Save the generated key Save public key Save private key Parameters Type of kep to generate SSH 1 ASA e SSH 2 ASA o SSH 2054 Number of bits in a generated key 2048 2 Select SSH2 RSA in the Parameters frame y Set Number of bits in a generated key to 2048 4 Click Generate O Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 11 ASX Limited ASX SFTP External User Guide cf PuTTY Key Generator ki E3 Fie key Conversions Help Kep Please generate some randomness by moving the mouse ower the blank area Ea Actions Generate a public private key pair Load an existing private key file Load Save the generated key Save public key Save private key Parameters Type of kep to generate C SSH ASA f SSH 2 ASA SSH 2 054 Number of bite in generated key 2046 5 Move your pointer in the small screen in order to generate the key pairs
11. ile copy from e g 20131213 12 psftp gt Is list files under the directory 13 psftp gt lcd c temp change local working directory to where the file copy to e g c temp Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 14 ASX Limited ASX SFTP External User Guide E DA Program Files 86 PuTTY psftp exe peftp no hostname specified use open host name to connect psftp gt open QMFT2B1 login as CCC Dounload Using username CCC Dounload Further authentication required CCC Down load QMFT2 1 s password Remote working directory is 4 psftp gt ls Listing directory 4 AFUXFUXPFUX i 5 5 18 17 deuxeuxrUux 1H 5 18 17 APPLE 1H 5 16 22 24131213 psftp gt cd 26131213 Remote directory is now 26131213 psftp gt ls Listing directory 248131213 drUXPUXPFUX 1H 5 18 18 API PIE 14H 5 5 18 18 FUXFUXPEUX i 5 5 16 22 OTC Daily CCC zip psftp gt lcd costemp New local directory is c temp psftp gt m 14 psftp gt get OTC Daily CCC zip copy the zip file e g OTC Daily CCC zip from remote server 15 psftp gt quit terminate the session 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
12. ring Participants OTC and or Futures e Clients of ASX Clear Futures Clearing Participants OTC and or Futures A Note The initial ASX SFTP service offering will be e OTC March 2014 e ASX Clear Futures July 2014 This manual is aimed at both the ASX Clear Futures Clearing Participants OTC and or Futures and their Clients Readers of this manual should refer to the relevant section s that are applicable to their or their Clearing Participant s ASX membership Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 3 ASX Limited 2 1 2 2 ASX SFTP External User Guide Requesting SFTP Access ASX Customer Support provides support for the SFTP service Customers requiring access to the SFTP environment will be required to submit a provided SFTP Account Request Form to ASX Customer Service Phone 612 131 279 Fax 612 9227 0885 Email the completed form to info asx com au Customers will also need to provide ASX Customer Service an SSH Public Key SFTP Accounts The naming convention utilised for SFTP accounts is e A three character customer code e g XYZ as in XYZ Download A sub group name that identifies either e The ASX product service e g OTC as in XYZ_OTC or Futures as in XYZ_ETD e A specific name from the requester e g XYZ UserDefinedName The following account types are provided Multiple Service Account This is a generic account to access multiple ASX
13. rvices Customers should refer to the service specific reporting specification to confirm the report distribution schedules Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 8 ASX Limited ASX SFTP External User Guide 4 Accessing Reports The ASX SFTP solution is standard ASX customers can access the FTPtest asx com au site from the command line or from any SFTP client that supports SSH connections UNIX and LINUX customers are able to utilise native SCP commands Microsoft environments do not natively support secure copy commands Appendix 1 Windows SFTP provides a guideline for coping files amp Note Alternate solutions are available and it is the customer s responsibility to choose a solution appropriate to them and to licence appropriately Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 9 ASX Limited ASX SFTP External User Guide 5 Customer Firewall Configurations ASX Customers connecting to the ASX SFTP solutions will need to allow the following configurations via their firewalls Environment Domain Name IP Port Test IWT FTPtest ASX COM AU 203 15 147 178 O Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 10 ASX Limited ASX SFTP External User Guide 6 Appendix 1 Windows SFTP Note There are alternate SFTP client solutions available and it is the customer s responsibility to choose a solution appropriate to them and to lic
14. services i e an account for an automated service For firm code XYZ a generic account to access multiple ASX Services e g both ASX OTC and ASX Clear Futures will always be set as XYZ_Download where XYZ represents the 3 character firm code Single Service Account This is a generic account to access a specific ASX service i e specific accounts for when different business units require segregated access to particular ASX Services For firm code XYZ a generic account to access a specific ASX product service e g ASX OTC will always be set to include the name of the product service e g XYZ_OTC where XYZ represents the 3 character firm code Additional Accounts Multiple customer defined accounts can be requested for a particular service i e accounts for automated processes and an account for an operational team to troubleshoot the service via an SFTP client In this case the account created is based on a name provided by the requester e g for Firm XYZ the account created will be XYZ_ Requested ID Ze Note Each connecting device i e primary and backup server will require an SSH key however one account can have more than one SSH key Alternately more than one instance of a Multiple Service Account may be requested Authentication SSH Key Usage The SFTP service utilises SSH public and private key combinations for secure access The requester ASX customer generates the SSH key combination The SSH privat
15. ted Expiring Accounts An Account will be set to expire if it has been inactive for 3 months or 90 days customer can request for an Account to be re activated through ASX Customer Service Accounts that have been inactive for 3 months will be deleted O Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 O ASX Limited ASX SFTP External User Guide 3 SFTP Folder Structures The reports for each ASX service will be contained within a set structure for Customers ASX Clear Futures Clearing Participants OTC and or Futures and their Clients to download Readers of this manual should refer to the section or sections that are relevant to them For further details on the reports contained within the folders customers should refer to the relevant provided report specifications 3 1 OTC Folder Structure 3 1 1 OTC Clearing Participant Reports The following structure will be assessable for the OTC Clearing Participants on the SFTP server OTC_REPORTS_ lt Three char Clearing Participant entity code gt YYYYMMDD OTC_ lt frequency gt _ lt source system if applicable gt _ lt Three char Clearing Participant entity code gt zip e OTC lt frequency gt lt source system if applicable gt CLIENT lt Three char firm or client entity code gt zip SFTP Proposed Folder Structure CP eN OTC_REPORTS_MNEMONIC 3 CHAR FIRM CODE NN YYYYMMDD JE OTC _Intraday1_CAL_ 3 CHAR FIRM CODE zip
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