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ASX Clear (Futures) Static Data Portal User Manual – ETD only

1. sssssss 25 1302 Clearing Participant Entity DO allS stesse meson pod tdt Gto mas du DU nmn n nm E NqU UE 26 1 10 3 Clearing Participant Entity Contacts essere nnns 2 1 11 CLIENT ENTITY RECORDS dedicada odadega tete cancer eo dic queen dnm autc neca ed sedi cepese niet 30 1 11 1 Creating a new Client Entity Record essere nnns 30 1 125 CLIENT ACCOUNT RECORDS cec toads ee oi en catena ko ie docti ete eda etae dic dues het semen diocesi 30 112 1 Creatng a new CHENE ACCOUNT ats esie utente oud cts nest aaia eta it utu ends 30 1 12 2 Accessing and editing an existing Client Account ssseeeennennnnnnnes 31 LIA CHORE ACCOUNT DOLOS dott taedet hae eati t EE bbc tcx ul tt D ntc dn 32 1 124 CHORE ACCOUNT ACOICSS m 36 NEMUS Vy eteluie 2pm O 38 2 1 ASX ONLINE HELPDESK SUPPOR T cuisisntie testes sat ou ntu im a E D mM reo tme LI M eI lease tact 38 2 2 BOX CLEARING OPERATIONS rotes treo atit sata EUR enetu ie trout que tool inc a o mp M ei E aufi 38 3 APPENDICES M asai 39 3 1 APPENDIX 1 REGISTRATION FORM inanci naaa aa a aea i 39 3 2 APPENDIX Z DIGITAL CERTIFICATE PROCEDURE 5 s oec perro etna aestu en eet dep tu es det t Sac eu as 39 3 2 f Pre requisites for Enrolment of a Digital Certificate csse 39 3 2 2 Down
2. Certificate intended purposes lt All gt 3 The Certificate Export Wizard window then appears Ensure that you have checked Yes export the private key then click Next to begin the Export Certificate Export Wizard Export Private Key You can choose to export the private key with the certificate Private keys are password protected IF vou want to export the private key with the certificate vou must type a password on a later page Do wou want to export the private key with the certificate CO Na do not export the private key Cancel 4 It is recommended that you Enable strong protection then click Next 9 You are required to setup a password to protect the private key This password will be required in order to import the certificate Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 43 ASX Limited ASX Clear Futures Static Data Portal User Manual Certificate Export Wizard Export File Format Certificates can be exported in a variety of File Formats Select Ehe Format you want bo use Include all certificates in the certification path if possible Enable strong protection requires IE 5 0 MT 4 0 SP4 or above Delete the private key if Ehe export is successful 6 Click on the Browse button to select the destination for the export of the certificate 7 Once this has been confirmed click Next then click Finish 8
3. ASX Clear Futures Static Data Portal User Manual ETD only Clearing Participants EMd EMt ESI ESX FGF FL p ASX Limited ASX Clear Futures Static Data Portal User Manual Table of Contents 1 CLEARING PARTICIPANT ETD ONLY iuactvezicci tess ence vocet toa Deb rib n Drei ze ro veda tv 4 1 1 INTRODUCTION heses ei e aaa 4 1 1 1 Purpose of ASX Clear Futures Static Data Portal sess 4 1 1 2 Audience Tor this Mahal secessit tstepredi tre ab engl ee onte rb d a err o EE Fo mel bu dn 4 1 2 SE TUPAND ACCE O MR a eer peer cere eee reer ner er eee eee eee eee ee eae 5 1 2 1 Sy terio E 5 1 2 2 Accessing ASX Clear Futures Static Data Portal sss 5 1 2 3 SOS SOM VIRGO DIE iade ament Rao do Rer Dv dre tcl uA 5 1 2 4 Changing you DaSSWOFQ tudo dtes tutis duode teda eter ede udis ete tui hdd Deut 5 1 3 OPERATING HOURS Sete static esos esu hatin ae Sica enc bud guste aaa nei vate guetta 5 1 4 USERACCOESSIBILITY mene nee tees eerie a nnn ieee E eee eee 6 1 4 1 Cean PUS S a nel ati ce Mite a d dag DM M D EAR dE M UND LM LA dU 6 1 4 1 1 Clearing Participant Administrator User Setup cccccccccsescsssscsssscscsssscscsesecsesecsssesecsssesessesesassesesseeesaseesesass 6 1 4 1 2 Clearing Participant Submitter Approver Setup ccccccsecsssscscsssscsssscsssesecsssscesssecsssecessesecssseeesaeesssseeesass 7 1 9 ADMINISTRATION FUNCTIONALITY escisio
4. It might be necessary to shut down all instances of Internet Explorer before changes take effect Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 48 ASX Limited ASX Clear Futures Static Data Portal User Manual 3 3 2 Digital Certificate Issues Most problems and errors that encountered relating to digital certificates occurred during enrolment download installation and importing and exporting If several key pieces of information are known and precautions taken most of the problems and errors outlined in this document can be prevented Below is a summary of the key information that can prevent most of the problems and errors occurring 3 3 2 1 Issues with Enrolment for a Digital ID e Ensure Check ActiveX Controls are enabled e lfoperating system is Windows XP ensure Onsite MSI package is installed e Enrolment can only occur once for each passcode so ensure details are correct There are five fields which are mandatory to be entered First Name Last Name Your E mail Address Passcode and Challenge Phrase Note that it is not mandatory to check the Protect Your Private Key checkbox or to enter comments During this process there are three possible errors e Incorrect Passcode If invalid username or passcode is entered then the following error message will be displayed X ASX Error Passcode Mismatch Your enrollment failed because you did not supply the correct passcode Status Code
5. 3 3 2 5 Digital Certificate Could Not Be Installed uote Ie Bo UE Cot o o eno ees 50 3 920 D Format GEIS CIBO ouod deno diano dp dolo act ate tae te cedant dA 91 3 3 2 7 Using Digital Certificates Issues eese o rete te terat hdd ot west a Mv tUi tied 52 3 3 2 8 Digital Certificate ReVOKGU sided tic cci vente duisi duisi atictde tenia iere cd urit rette det 52 3 3 3 Slatic Data Portal ACCOSS 1SSUCS iiion e cest n E a TAE E ll ded 53 3 3 3 1 Cannot view Static Data Portal link on the application Selection Page ssesssss 53 3 3 3 2 On Clicking the Static Data Portal link access denied error is displayed sssss 53 3 4 APPENDIX 4 CLIENT ENTITY CONFIGURATION FORM AND USER GUIDE eene 53 This document has been compiled with a view to informing prospective users of the ASX Clear Futures Client Clearing Service for ASX 24 Exchange Traded Derivatives ETDs and Over The Counter OTC Trades Please note e Recipients of this document are asked not to forward this paper outside of their organisations and not to publish the material in any way without ASX s prior permission e X his paper does not constitute legal or financial advice e he proposals outlined in this document are subject to refinement by ASX based on expert and customer feedback ASX Clearing Board approval and regulatory clearance Copyright 2014 ASX Limited ABN 98 008 62
6. 3117 Copyright 1998 2004 VeriSign Inc All rights reserved v VeriSign TRUST NETWORK e Passcode Already In Use If the passcode selected has already been used to generate a digital id then the following error message will be displayed QS iow Passcode Error Your enrollment failed because the passcode you supplied is already in use for another enrollment Please contact your administrator for more information Copyright 1898 2004 VeriSign Inc All rights reserved v VeriSign TRUST NETWORK e Digital ID Could Not Be Generated If there is an issue with ActiveX controls for the browser this error will occur Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 49 ASX Limited ASX Clear Futures Static Data Portal User Manual Error Digital ID Could Not Be Generated The most likely reasons for this problem are You are using Windows VISTA and have not turned on ActiveX contents If you are using Windows VISTA and Internet Explorer 7 ActiveX Opt In feature on Windows VISTA has disabled ActiveX controls on the system The page you want to visit requires your approval to run the ActiveX Control Please turn on ActiveX by going to the Security Settings tab in the Internet Options dialog of the View menu You did not choose to run the Enrollment ActiveX control When loading the enrollment page you should have seen a Security Warning dialog for a program digital
7. A confirmation box will appear confirming that the export was successful Certificate Export Wizard The export was successful 3 2 4 2 Importing a Certificate 1 In Internet Explorer Click on the Tools menu then Internet Options 2 Select the Content tab and then click on the Certificates button 3 In the Certificates window click Import Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 44 ASX Limited Certificates Intended purpose all gt Personal Other People Intermediate Certification Authorities Issued To 44442001 Training JacHo2001 Sysadmin EJacHozoo2 Sysadmin s ACHO2003 Sysadmin Es achoz004 sysadmin sd ACHO2005 Sysadmin EJ AcHOzD06 Sysadmin ESJAclR2001 SysAdmin SJ AcLR2003 Sysadmin Issued By SFE CA SFE CA SFE CA SFE C SFE CA SFE CA SFE CA SFE CA SFE CA Expiratia 28 01 05 28 01 05 28 01 05 28 01 05 28 01 05 26 01 05 28 01 05 25 01 05 28 01 05 Friendly Mame None gt None gt None gt Mone gt None gt None None gt None gt None gt ASX Clear Futures Static Data Portal User Manual Certificate intended purposes 4 The Certificate Import Wizard window appears 9 Please click Next 6 Click Browse to navigate to the location where the certificate was originally exported to Certificate Import Wizard File to Import Specify the file you want to
8. Certification Authorities Trusted Root Certificatior Issued To Issued By Expiratio Friendly Name EQIASXTA UsersName ASX CA 14 06 2013 lt None gt import Export Remove Certificate intended purposes lt All gt Learn more about certificates 3 3 1 3 JavaScript Issue Why do get the error message JavaScript must be enabled to use this site Please enable JavaScript in your browser and try again The application checks to see if JavaScript is enabled before it renders the pages in full If JavaScript is not enabled you will not be able to enter any data It should be possible to enable JavaScript through the Internet Options Programs Manage add ons gt Toolbars and Extensions section of your browser Consult Internet Explorer Help for more information on how to do this for your browser version Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 47 ASX Limited ASX Clear Futures Static Data Portal User Manual Default web browser Internet Explorer is the default web Make default browser EM Tell me if Internet Explorer is not the default web browser Manage add ons Ih Enable or disable browser add ons installed in your system HTML editing Choose the program that you want Internet Explorer to use for HTM edo Internet programs Lar Choose the programs you want to use 5et programs for other Internet services such as e mail
9. Clearing Account Hierarchy until the relevant Client Account can be located The Approval Status hyperlink will appear next to the Client Account record in the Status column within the Search Results pane Once clicked the Client Account record will be displayed The Clearing Participant submitter can commence editing existing information appended against the Client Account Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 31 ASX Limited ASX Clear Futures Static Data Portal User Manual Once saved or submitted the Client Account code will be automatically generated by the system on a separate page as follows New Client Account created Client Account Code DELAAOOI 1 12 3 Client Account Details Client Account details such as associated Client Entity Ledger and Account type etc can be found on the Client Account Details tab Client Account ID 512 Clearing Participant Code Client Entity Code Client Entity Legal Name Client Account Code Client Account Mame Client Account Ledger Clearable Products Eligible Products Eligible Currency Role Account Type Identity details Inherit Details from Client Entity ABN LEI Company Registration Number Workflow Status Submitted CXL DEL DEL CE Legal Name DELAAOO DEL 1 SFE OTC Futures Interest Rate Swap AUD Counterparty ICA 45200000010 Copyright 2014 ASX Limited ABN 98 008 624 691
10. has been set to Australia otherwise the field is hidden where Country is other than Australia Post Code Zip associated with the Street Address Country associated with the street address Contact details associated with the Clearing Participant are captured on the Clearing Participant Entity Contacts tab Clearing Participant Entity ID 250 Legal Contact 1 Workflow Status Contacts Job Title KWY Legal First Name Dick Last Name Smith Phone 405678987 Email KW 2asx com au Operations Contact 1 Job Title KW OperationContact First Name John Last Name Dennis Phone 612 42456813 Email KWYOperationContact asx com au Contact in Case of Default 1 Job Title KWcontact First Name Adam Last Name White Phone 03 9874562314 Email KWYcontact asx com au Saved Approval Status INACTIVE w Legal Contact 2 Job Title First Name Last Name Phone Email Operations Contact 2 Job Title First Name Last Name Phone Email Contact in Case of Default 2 Job Title First Name Last Name Phone Email Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 2f ASX Limited ASX Clear Futures Static Data Portal User Manual Information that can be amended on this page includes the following re osm Legal Contact Job Title Legal Contact 1 First Name Legal Contact 1 Last Name Legal Contact 1 Phone Legal Contact 1 Email Opera
11. i e have a workflow status appended can be viewed via the Record Search page In order to identify where a record is currently being edited by another user the Outstanding Actions column in the Search Result pane will be populated with Workflow Status i e Saved Submitted etc User Role ASX or Clearing Participant or Client currently in the process of making the change Clearing Participant Client Entity Client Account Book Fund CP Ledger CTI Code NP Capital C Client Code Name Type Code Name El cx Outstanding Actions Rejected CP ACTIVE NZF Client E SFE Client ACTIVE ACTIVE The edited record can be viewed by clicking the hyperlink in the column This will bring the user to the pages related to that specific record Where no hyperlink has been provided the user does not have access to the record currently being edited 1 9 4 3 View Editing a record currently in the process of being edited Where a record is currently in the process of being edited by another User either an ASX User or Clearing Participant or Client User other than the user currently editing the record the user logged into the portal will not be able to edit the production deployed or edited record In order to alert the user to this a message will be appended to the record This is currently being edited by ASX User and the record has been locked There will be no option to Save or Subm
12. import File name Browse Note More than one certificate can be stored in a single File in the Following Formats Personal Information Exchange PKCS 12 PFX P12 Cryptographic Message Syntax Standard PKCS 7 Certificates P7B Microsoft Serialized Certificate Store SST 7 Please ensure that you change the file type from the default X 509 Certificate to Personal Information Exchange pfx in the File of Type drop down box 8 Select the certificate that you wish to import and click Open Click Next to proceed Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 45 ASX Limited ASX Clear Futures Static Data Portal User Manual Open Look in 3 Desktop E G My Documents B X My Computer My Recent my Network Places Documents Personal 3 E test pfx Desktop My Documents D My Computer amp File name D My Network Files of type 9 You will then be prompted for the password for the private key This is the same password that was used when exporting the certificate originally You are required to enter the password for the private key and then click Next 10 Windows will then allow you to select where you have the certificate stored 11 Click Next once completed Certificate Im port Wizard Password To maintain security Ehe private key was protected with a password Type the password Far the private
13. on the search criteria entered Approver Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 20 ASX Limited ASX Clear Futures Static Data Portal User Manual 1 9 4 Viewing and Editing Records Records exist within the system in either an Approved state or Edited Workflow state i e where a workflow status is applied Either state can be viewed within the system in order to allow a Clearing Participant user to view changes currently being made to a record where permissions allow or at the very least allow a Clearing Participant user to observe that changes are being made to a record by another user In order to view either record state the action to do so is initiated via the Record Search page Search Results pane 1 9 4 1 Viewing Approved Records In order to view an Approved record state the Status column in the Search Result pane will be populated with the Approval status applied to the record cp tedger cri_ Code NP CaptalCGhent Code Name Tye Code Name RE El cx ACTIVE ACTIVE ACTIVE NZF Client E SFE Client The approved record can be viewed by clicking the hyperlink in the appropriate records column This will bring the user to the pages related to that specific record Where no hyperlink has been provided the user does not have access to the record 1 9 4 2 Viewing an Edited Record Records that are currently in the process of being edited
14. the Contact in Case of Default 1 and 2 Contact in Case of Default 1 information is mandatory Last Name associated with the Contact in Case of Default 1 and 2 Contact in Case of Default 1 information is mandatory Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 28 ASX Limited ASX Clear Futures Static Data Portal User Manual re osm Contact in Case of Default 1 Phone Number associated with the Contact in Case of Default 1 Phone and 2 Contact in Case of Default 1 information is mandatory Contact in Case of Default 1 Email Address associated with the Contact in Case of Default 1 Email and 2 Contact in Case of Default 1 information is mandatory Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 29 ASX Limited ASX Clear Futures Static Data Portal User Manual 1 11 Client Entity Records 1 11 1 Creating a new Client Entity Record Client Entity records are set up by the ASX upon request from the CP on behalf of their CPM client Given some CPM Clients may not wish to disclose details on the form such as Alternate Clearing Participant ASX will also accept forms submitted directly by the CPM Client In order to request a new Client Entity to be set up please request your CPM client to fill out the Client Entity Configuration form in the Appendix Also in the same section see the User Guide on how to fill this form out Please note A Clearing Participant user will not hav
15. 2 1 Pre requisites for Enrolment of a Digital Certificate e ActiveX Controls set to Enabled e Onsite MSI package installed for Windows XP Operating System 3 2 4 Download and Installation of the Root Digital Certificate e Click Install CA from the Digital Id Centre site to install the CA e Ensure above mentioned CA has been installed to Trusted Root Certification Authorities e During installation select the format My ID for Microsoft Internet Explorer e Download can only occur once so the user should not delete their digital certificate 3 Detailed Instructions and URL to install the root CA is provided in the confirmation email Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 39 ASX Limited ASX Clear Futures Static Data Portal User Manual 3 2 3 Enrolment Downloading and Installation Procedure of the user certificate The enrolment form is accessed through the Digital ID Centre secure website hosted by VeriSign The enrolment website is accessed via https pki verisign com au services ASXOperationsPtyLtd client userEnrollMS htm 2 When loading the enrolment page for the first time you will see a Security Warning dialog for a program digitally signed by Microsoft This program is required to enrol for a certificate It is safe to run it on your computer and its authenticity is proved by a digital signature Click Yes 3 The following screen is displayed Enrollment Help w
16. 4 691 All rights reserved 2014 3 ASX Limited ASX Clear Futures Static Data Portal User Manual 1 Clearing Participant ETD only 1 1 Introduction 1 1 1 Purpose of ASX Clear Futures Static Data Portal ASX Clear Futures Static Data Portal SDP is a web based system that provides Clearing Participants the access to directly enter and update Static Data used within the clearing process for Exchange Traded Derivative ETD products This Static Data includes but is not limited to Client Accounts and Clearing Participant Entities and Standard Settlement Instructions 1 1 2 Audience for this Manual The ASX Clear Futures Static Data Portal User Manual has been written for ASX Clear Futures Clearing Participants The Clearing Participants users of the ASX Clear Futures Static Data Portal include e Clearing Participant Administrator User Clearing Participant Submitter User Clearing Participant Approver User This user guide covers the following subject areas 1 2 Introduction and system overview User access and administration functionalities oo Client Clearing Account Structure EN Workflows and Actions CO O1 otatic Data Portal Web Pages FAQs OOo N Approvals and Rejections Contacting ASX Support Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 4 ASX Limited 1 2 1 2 1 1 2 2 1 2 3 1 2 4 1 3 ASX
17. A Certificate chain could not be built to a trusted root authority You do not have the Root Certificate installed in your system The Root Certificate has to be installed in the Certificate Store Trusted Root Certificate Authority The URL from which you are trying to enroll is not a Trusted Site Make the URL a trusted site by adding the URL name to the list of trusted sites in the security Tab of the Internet Options dialog in the Tools menu pyright 1998 2004 VeriSign Inc All rights reserved V VeriSi TRUST NETWORK This error occurs because the root certificate has not been installed By returning to the Digital ID Centre website https pki verisign com au services AS XOperationsPtyLtd digitalidCenter htm Digital ID Center Windows Internet Explorer provided by Australian Securities Exchange 3 sly Favorites is AEMO Current Dispatch L amp SFE Business Operations Web Slice Gallery 77 Share Point Digital ID Center A A asx Digital ID Center LL ASX Operations Pty Ltd Digital ID Center ENROLL Choose this option to enroll for a client Digital ID PICK UP ID Choose this option if you enrolled for a Digital ID but did not pick it up SEARCH Choose this option to search for a Digital ID This function is useful for determining whether a Digital ID is valid expired or revoked You may also download IDs from this option e Choose this option to renew a Digital I
18. All rights reserved 2014 32 ASX Limited ASX Clear Futures Static Data Portal User Manual Information presented to a Clearing Participant user on this screen includes the following Refer to the following diagram for Approval Status states associated with a Client This next status will be set by the status assigned to the Client Entity T aie Clearing The Clearing Participant code will be set to the Clearing Participant Firm Code and Participant cannot be changed Code Client Entity The Client Entity is a drop down list of all of the Clients configured in the system Code Once the Client Account has been saved into the system the Client Entity Code cannot be amended This field is not required for a Client Account configured as an Omnibus Account and will be hidden where the Omnibus Account Type has been selected Client Entity The legal name associated with the Client Entity selected This field is output only and Legal Name cannot be changed Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 33 ASX Limited ASX Clear Futures Static Data Portal User Manual m owen Client The Client Account code is the unique code associated with the Client Account The Account Code Client Account Code is auto generated by the system for a new record once the record has been saved or submitted The Client Account code is an 8 digit auto generated alphanumeric id which can be broken down into the follow
19. Clear Futures Static Data Portal User Manual Setup and Access System Setup To access the ASX Clear Futures Static Data Portal you need to have the following Internet Explorer 7 8 or 9 JavaScript enabled browser e ActiveX Controls set to Enabled Onsite MSI package installed for Windows XP Operating System Accessing ASX Clear Futures Static Data Portal Open your browser and navigate to https asxstaticdata connect asxonline com In order to log in to the Static Data Portal you will need to have the following An Active ASX Online user profile user name and password An enrolled and installed Digital Certificate supplied by ASX Relevant User profile set up in the SDP oee 2 4 User Access for more details on obtaining the above and logging into the SDP Session Timeout session timeout and disconnection occurs after 60 minutes of inactivity and any unsaved information will be lost To continue using the ASX Clear Futures Static Data Portal you are required to log in and authenticate again Changing your password Passwords to use the ASX Clear Futures service are the same as the password used to access the ASX Online service If you are given an ASX Online password for the first time you will need to change that password initially in ASX Online before trying to login to the ASX Clear Futures otatic Data Portal ASX Online passwords expire every 45 days and you will be prompted by the
20. Client Account User Search Firm Code CXL Username 3 Clearing Participant Administrators will be able to search for usernames that have already been set up in ASX Online against their Firm ASX Online usernames are case sensitive ASX Clear Futures Static Data Portal Welcome Jeff Wiggles Role CP Ad User Management Create New User Search User Details Add new Client Account AOL User Name Search AOL Users 4 Ifa match is found the following details will be populated Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 8 ASX Limited 1 5 2 ASX Clear Futures Static Data Portal User Manual ASX Online User Name First Name Last Name e Email Address Firm Code 5 Input a relevant Contact Number for the Clearing Participant User 6 Nominate one or more user roles Submitter Approver Clearing Participants have the ability to manage their own Users and User privileges Request a digital certificate on the user s behalf by checking Request Certificate and click Create User to apply changes This will send a request to ASX Online Help Desk who will provide a VeriSign digital certificate to the User 7 Click the Close button to end the user creation process User Search ASX Clear Futures Static Data Portal Welcome Jeff Wiggles Role CP Administrator CP Submitter Firm CXI User Management Search Add new Cli
21. Client Entity ABN cannot be edited A search can be performed on an LEI assigned against a Client Entity Where a Client Entity Code has been selected the LEI cannot be edited A search can be performed on an Company Registration Number assigned against a Client Entity Where a Client Entity Code has been selected the Company Registration Number cannot be edited Where a Client Entity Code has been selected from the drop down list the Client Accounts associated with that specific Client Entity Code will be returned in the search results pane along with the Parent information A Client Entity Name can be entered as text without wildcard characters or with wildcard characters added Wild card characters include matches zero or more characters Client Accounts matching the Client Entity Name text string entered will be returned in the search results pane along with the Parent information Client Accounts matching the Client Entity ABN entered will be returned in the search results pane along with the Parent information Client Accounts matching the Client Entity LEI entered will be returned in the search results pane along with the Parent information Client Accounts matching the Client Entity Company Registration Number entered will be returned in the search results pane along with the Parent information Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 16 ASX Limited ASX Clear Futu
22. D which is expiring or which has already expired You should generally start renewing your Digital ID at least one month before your Digital ID is due to expire REVOKE Choose this option to revoke your Digital ID Digital IDs should be revoked immediately for any suspected compromise including lost or stolen private keys corrupted key pairs change in site ownership or suspected fraud Copyright 1998 2004 VeriSign Inc All rights reserved vj VeriSign TRUST NETWORK And by clicking on Install CA this issue was resolved note it must be installed in the Trusted Root Certification Authorities store otherwise the issue will not be resolved 3 3 2 6 ID Format Unselected If a user does not select specify an ID format from the dropdown list then the following error message is displayed Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 51 ASX Limited ASX Clear Futures Static Data Portal User Manual Oo ASX Error Digital ID Center Online Enrollment Status 8b4cO If you continue to get this error and are sure that you entered all of the information contact the administrator 2004 VeriSign Inc All Rights Reserved v VeriSign TRUST NETWORK 3 3 2 7 Using Digital Certificates Issues After a digital certificate has been installed it can be used to log into ASX Clear Futures Static Data Portal Before the ASX Clear Futures Static Data Portal websit
23. Entity tick box has been ticked An ABN or LEI or Company Registration Number is required to be appended against the ICA Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 35 ASX Limited ASX Clear Futures Static Data Portal User Manual 1 12 4 Client Account Address Client Account Address details specifically for the Client Account can be found on the Client Account Address tab Client Account ID 512 Workflow Status Submitted Inherit Details from Client Entity Address 93 Kent Street City Suburb Perth State WA Postcode Zip 9001 Country AUSTRALIA Information presented to a user on this screen includes the following m eem 00000 The Approved status of the Client Account can be amended Refer to the following diagram for Approval Status states associated with a Client This next status will be set by the status assigned to the Client Entity Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 36 ASX Limited rae en Inherit Address from Client Entity City Suburb Postcode Zip ASX Clear Futures Static Data Portal User Manual This tick box will apply the Address details appended against the Client Entity to the Client Account Where the Inherit tick box has been ticked the Address fields cannot be amended Any changes that occur at the associated Client Entity will be inherited automatically The Inherit tick box will no
24. Reject their own changes The workflow Approval Rejection process applies to each Entity within the system and varies based on the Entity type and whether the record is either newly created or an edit to an existing record The following diagrams illustrate the workflow process for each Entity type Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 22 1 9 5 1 Clearing Participant Entity Workflow Approval Rejection Process At a high level the following diagram illustrates the workflow associated with approval rejection associated with an edit of an existing Clearing Participant Entity record Please note that this has not been differentiated by the Participant user role Colours identify the workflow status applicable Clearing Participant Entity Approval Workflow Process Save or Delete or Save or Submit Submit Submit Submit OQ aui CP Entity Details Q p veiet Saved CP Entity record is Submit deleted from system Status Legend sunni Yes Edit CP Status New Account N o o Status Saved CP Entity record A Approved Status Deleted Rejected Status Submitted Approve C jJ Status Approved Approve or iim Status Reject Reject J 2 ye J Wi a o0 C OU ASX Limited ASX Clear Futures Static Data Portal User Manual 1 9 5 2 Client Account Workflow Approval Rejection Process At a high
25. Tools then Internet Options Select the Content tab and then click in the Certificates button Internet Options General Security Privacy Content Connections Programs Advanced Content Advisor Ratings help vou control the Internet cantent that can be viewed on this computer Certificates E Use certificates ta positively identity yourself certification authorities and publishers Clear SSL State Certificates Publishers Personal information X AutoComplete stores previous entries AutoComplete and suggests matches for you Microsoft Protile Assistant stores your My Profile personal information 2 Inthe Certificates window select the certificate that you wish to export then click Export Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 42 ASX Limited ASX Clear Futures Static Data Portal User Manual Certificates Intended purpose lt All gt Issued To Issued By Expiratio Friendly Mame fed aA amp AAZDO1 Training SFE CA 28 01 05 None gt EJacHozoo1 sysadmin SFE CA 28 01 05 lt None gt ESJacHozoo2 SysAdmin 28 01 05 zMone ACHO2ZO03 SysAdmin SFE CA SBI IOS NOME a Ess acHozo04 Sysadmin 28 01 05 None gt EJ acHo2005 Sysadmin 28 01 05 lt None gt Es acHo2006 Sysadmin 26 01 05 lt None gt ESJaclr2001 Sysadmin SFE CA 28 01 05 None gt ESJAcLR2003 Sys dmin SFE CA 26 01 05 zMone
26. annot approver his her own work 1 4 1 1 Clearing Participant Administrator User Setup To create an ASX Clear Futures Static Data Portal Clearing Participant Administrator User you should 1 Ensure you have an active ASX Online profile Contact ASX Online Help Desk 2 Complete scan and email the following form to asxclearfutures asx com au 3 Receive Clearing Participant Administration User credentials from ASX Clearing Operations by email 4 Enrol and Download Digital Certificate Digital Certificate Procedures 9 Confirm login at the following link https asxstaticdata connect asxonline com Users must login to ASX Online and change their password to activate their account Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 6 ASX Limited ASX Clear Futures Static Data Portal User Manual S Tip If a user setup by a Clearing Participant administrator is unable to access the ASX Clear Futures Static Data Portal they can refer to the Appendix 3 Troubleshooting Appendix 3 Troubleshooting highlights three most common areas that can prevent users from accessing ASX Clear Futures Static Data Portal Browser Related Issues Digital Certificate Issues e Static Data Portal Access Issues 1 4 1 2 Clearing Participant Submitter Approver Setup To create an ASX Clear Futures Static Data Portal Clearing Participant Submitter or Approver role you should 1 Ensure you have an a
27. cord has a Workflow Status Saved Light Yellow Submitted Where the record has a Workflow Status Submitted Light Orange Reject Where the record has a Workflow Status Reject Light Red CP Submitted Where the record has a Workflow Status CP Submitted Light Orange ASX Rejected Where the record has a Workflow Status ASX Rejected Light Red The results returned in the search result pane can be either expanded or collapsed to vary the information returned as per the Account Hierarchy Clearing Participant Client Entity Capital Client El CXL sFE Client MES E MAE A description of the individual search result fields retuned is defined below Returns the Firm code associated with the Clearing Participant User Id Ledger Returns the Ledger allocated to the Clearing Participant record Each Ledger will be displayed on a unique row Clearing Type Indicates the Clearing Type Indicator Client assigned to the Clearing Indicator Participant amp Ledger combination Client Entity Code Returns either the Client Entity Code CPM Client or Capital C Client where there is a Nominated Person or a Nominated Person associated with the Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 19 ASX Limited ASX Clear Futures Static Data Portal User Manual Participant When the mouse cursor is hovered over the Client Entity Code the Name assigned to the Client E
28. ctive ASX Online profile Contact ASX Online Help Desk 2 Ask your Clearing Participant Administrator to create a Clearing Participant User profile and request a Digital Certificate refer to Administration Functionality 3 Enrol and Download Digital Certificate Digital Certificate Procedures 4 Confirm login at the following link https asxstaticdata connect asxonline com As per foot note 1 Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 f ASX Limited ASX Clear Futures Static Data Portal User Manual 1 5 Administration Functionality The Administration functionality of the ASX Clear Futures Static Data Portal enables a Clearing Participant Administrator to Create Edit and e Disable 1 Clearing Participant Administrator user accounts 2 Clearing Participant Submitter user accounts 3 Clearing Participant Approver user accounts 1 5 1 Create a new user 1 Create a new user by first clicking on the User Management link in the navigation panel on the left hand side of the screen The User Management Search screen will appear as per below ASX Clear Futures Static User Management Click on the menu item on the left to go to the area you wish to use Add new Client Account 2 Click on the Create New User button ASX Clear Futures Static Data Portal Welcome Jeff Wiggles Role CP Administrator CP Submitter F User Management User Management Add new
29. e Client Account to be created under Click the Create Client Accounts button Commence appending Client Account Information Submitter Submitter Submitter ASX Clear Futures Static Data Portal User Manual The Clearing Participant Ledger combination is chosen by clicking the Create Client Accounts button the system will display the Client Account Page The Clearing Participant submitter can commence entering information against the Client Account 1 12 2 Accessing and editing an existing Client Account Access to existing Client Account information is via the Record Search page Clearing Participant Client Entity Client Account Book Fund oP Leser on code Name cge El NzF Client Use the following steps to acc El AMP Australia Outstanding Code Status Actions ACTIVE ACTIVE ACTIVE CXLAGOO CLA_CPS_TD ACTIVE CXLAIOO CLA CPS TO ACTIVE CXLAKOO CLA CPS TD ACTIVE M oe me Data Entry Click Search button View Data Click Approval Status hyperlink Commence editing information against the Client Account Navigate to Client Account Submitter or Approver Submitter or Approver Submitter or Approver Submitter or Approver Submitter or Approver Submitter Enter search criteria to return a Client Account record Search results will be retuned based on the search criteria entered Navigate through the Client
30. e Client Directly In order to set up a new Client entity the Client or the Clearing Participant on behalf of the client must fill in and submit to the ASX the Client Entity Configuration Form A unique 3 digit Client code is assigned to each Client Entity The following diagram illustrates the relationship between each Entity type record for Clearing Participant and Clients that can clear across Futures only For reference the following conditional terminology is used 1 1 1 and only 1 Entity record is associated with its related Entity partner 0 0 to many Entity records are associated with its related Entity partner In order to read the diagram apply the condition at the arrow pointing away from the Entity that you wish to map the relationship for l e a Clearing Participant can have 0 Client Accounts associated with it Clearing Participant Entity Level 1 Client Entit die n di Client y Account Level 2 Exceptions to the rules above include A Futures House Participant Entity will not be managed within the Static Data Portal A Client Account that has been configured as an Omnibus Account will not be associated with a Client Entity Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 10 ASX Limited ASX Clear Futures Static Data Portal User Manual Book Funds will not be associated with a Futures Client Account as all positions will be allocated t
31. e access to the Client Entity record configured by the ASX in the portal 1 12 Client Account Records Details associated with each Client Account are maintained across a number of pages assessable by tabbed page design layout Client Account information is associated with the following tabs Details Address 1 12 1 Creating a new Client Account In order to create a new Client Account record use the following steps CIRNENNCHC HN Click Add new Client Account Submitter This link allows a Clearing Participant user to create a new link in Navigation bar Client Account Once clicked the Client Account tabbed page will be presented to the user The following page will then be presented where a Clearing Participant Code Ledger combination is required to be appended the Client Account Ledger List Clearing Participant MAE v CP Code Ledger 149 MAE SFE Create Client Accounts In order to create a new Client Account record use the following steps wmm m omm Choose a Submitter The Clearing Participant code will be locked to the Clearing Clearing Participant Code associated with the user logged into system Participant Code from the drop down list The list of Ledgers configured under your Clearing Participant code will be returned Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 30 ASX Limited Observe and choose the Ledger the you would like th
32. e can be opened it will require the user to select a digital certificate to use as part of authentication A list of all available digital certificates installed on the user s machine will be available to be selected In the figure below two digital certificates are available for selection User 1 and User 2 Windows Security Select a Certificate User 1 Issuer ASX CA Valid From 11 07 2012 to 12 07 2013 Click here to view certifi i3 Valid From 11 07 2012 to 12 07 2013 Cancel 3 3 2 8 Digital Certificate Revoked An Incorrect Username in the Certificate error message will be displayed when a user attempts to log into ASX Clear Futures Static Data Portal e When their digital certificate has been revoked e Using another person s digital certificate Below is an example of the error message CEN NASN KNIT Incorrect Username in the Certificate O A SX Operations Pty Ltd OU ParticipantID UBS OU Username User 1 OU Project ASXTAOTCDC CN User 1 Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 52 ASX Limited ASX Clear Futures Static Data Portal User Manual 3 3 3 Static Data Portal Access Issues 3 3 3 1 Cannot view Static Data Portal link on the application Selection Page If the users have valid ASX Online login credentials and valid SSO certificate they will be able to access the application selection page However if they have not been enabled for ASX Clear Futur
33. e on this information The information in this document is not a substitute for any relevant Operating rules and in the event of any inconsistency between this document and the operating rules the operating rules prevail to the extent of the inconsistency Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 ASX Trademarks 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 ASX Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 54
34. ent Account 1 9 3 User Management User Search Firm Code CXL Username ia cba sub Jeff Wiggles CXL JWigglestest asx com au True CP Administrator CP Submitter dmu30 DMU MOS30 CXL dmu30test asx com au True CP Approver 1 Go to the User Management screen 2 Input the Username 3 Click Search 4 Results will appear in summary form Edit User 1 Locate the Clearing Participant User in question as per User Search 2 Click on the Clearing Participant User in the search results 3 Make the following changes as appropriate Roles Submitter Approver Revoke Certificate Send request to ASX Online Help Desk Request Certificate Send request to ASX Online Help Desk Activate or Disable User Access Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 9 ASX Limited ASX Clear Futures Static Data Portal User Manual 1 6 Client Clearing Account Hierarchy Within the Static Data Portal there are two entity types Clearing Participant Entity Level 1 this is set up by the ASX prior to the CP on boarding All Clearing Participant details such as ABN LEI Address Contact Details are appended to the Clearing Participant Entity by the ASX A unique 3 digit Clearing Participant code is assigned to each CP Entity See section 2 10 Clearing Participant Entity Records for more details Client Entity Level 2 this is set up by the ASX upon request from either the CP or th
35. es Static Data Portal they will not be able to view the access link For any support regarding Static Data Portal access please contact ASX Clearing Operations 33 0 2 On Clicking the Static Data Portal link access denied error is displayed If the users can view the Static Data Portal link on the application selection page they have been enabled for ASX Clear Futures Static Data Portal Access denied message on clicking the Static Data Portal link implies that there is an issue with user s firm access The user must follow the instructions on the screen 3 4 Appendix 4 Client Entity Configuration Form and User Guide ws iE Client Clearing Forms Client Static Data Client vO 4 pdf Forms User Guide v1 Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 53 ASX Limited ASX Clear Futures Static Data Portal User Manual Disclaimer This document provides general information only and may be subject to change at any time without notice ASX Limited ABN 98 008 624 691 and its related bodies corporate ASX makes no representation or warranty with respect to the accuracy reliability or completeness of this information 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 anyone acting or refraining to act in relianc
36. g setup and configured prior to being made Active for trading Therefore Client Accounts and Book Funds can be created against the Client As a Clearing Participant user Client Accounts set to Pending can is but only in a Pending still be viewed within the system against the Pending Client Entity status Once the Client Entity has been set to Active all Client Accounts records associated with the Client Entity will be set to Active automatically A record cannot be set to Pending once it has become Active within the system Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 13 ASX Limited 1 9 1 9 1 ASX Clear Futures Static Data Portal User Manual Record Search Page Once login and authentication is successful for the Static Data Portal the Clearing Participant User will be presented with the Record search Page The record search page allows a user to search for Clearing Participant details associated with their Clearing Participant Entity Code Client Account details associated with their Clearing Participant Entity Code The Record Search Page has been divided into the following components Quick Search Search Criteria Search Results 1 Quick Search 2 Search Criteria 3 Search Results The following sections provide information on how to retrieve information stored within the Static Data Portal using each of the above components Quick Search T
37. h Criteria pane allows a Clearing Participant User Submitter Approver to specify individual search criteria to return specific search results Multiple search criteria fields can be combined in order to further restrict or confine the search results returned A description of the individual search criteria fields applicable within the Static Data Portal are defined below Clearing Drop Down This will be locked to the Firm code When used in isolation all records Participant associated with the Clearing associated with the Firm code will be Code Participant User Id returned in the search results pane Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 15 ASX Limited Client Entity Code Client Entity Name Client Entity ABN Client Entity LEI Client Entity Company Registration Number Drop Down ASX Clear Futures Static Data Portal User Manual All Clients associated with the Clearing Participant Firm will be visible within the dropdown list Where a Client Entity has been selected from the drop down list Client Entity Name ABN LEI and Company Registration Number fields cannot be edited A search can be performed on a Client Entity Name Where a Client Entity Code has been selected the Client Entity Name is returned and cannot be edited A search can be performed on an ABN assigned against a Client Entity Where a Client Entity Code has been selected the
38. he Quick Search pane allows a Clearing Participant user to quickly return records within the Search Results pane without the need to specifically enter Search Criteria Quick Search User Management Search for Saved Records Search eo aoo fee sore PRES cea Search for Submitted Records Search for Rejected Records Search for CP Submitted Records Search for All ASX Rejected Records Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 14 ASX Limited ASX Clear Futures Static Data Portal User Manual The following quick search links are available along with the associated description EN REN NEN Search for all Saved Records Return all Saved Records associated to the Clearing Participant User Search for all Submitted Records Return all Submitted Records associated to the Clearing Participant User Search for all Rejected Records Return all Rejected Records associated to the Clearing Participant User Search for all CP Submitted Return all CP Submitted Records associated to the Clearing Participant User Records Search for all ASX Rejected Return all ASX Rejected records associated to the Clearing Participant User Records amp Note Results returned as a result of a quick search link will be displayed irrespective of the Account hierarchy structure and will be grouped based on the entity structure as follows CP Entity Client Entity Client Account 1 9 2 Search Criteria The Searc
39. ing components Where the Client Account has been configured as an ICA Account where segregation Code I Client Account Code lt Client Entity Code 3 Character Code gt lt Account Code 2 Character Code gt 00 lt Segregation Code gt Example Client Entity Code DEL Account Code AA the next ICA Client Account for Client Entity DEL will increment this value to AB Level 2 Code 00 Segregation Code ICA gt DELAAOO Once generated the Client Account Code cannot be amended Client The name of the Client Account Account name The Client Account Name cannot be blank Client The Ledger will be prepopulated with the Ledger chosen from the previous page Account This field is output only and cannot be changed Ledger Clearable Tick boxes that represent whether the Client Account is required for OTC Client Products Clearing or Futures Client Clearing OTC amp Futures Both tick boxes can be ticked which implies that the Client Account is applied across both OTC and Futures Client Clearing Role The role will be set to Counterparty and cannot be changed Account Type Account Type can be set to ICA Individual Client Account Please note that Futures Omnibus accounts are not managed within the Static Data Portal and are managed as per the existing process directly through Genium Once appended the Account Type cannot be amended Copyright 2014 ASX Limited ABN 98 008 624 691 All right
40. ion select the format My ID for Microsoft Internet Explorer e Download can only occur once so the user should not delete their digital certificate 3 3 2 3 Issues with Importing and Exporting Digital Certificates e Private keys must be included in any import or export i e ensure pfx format is imported exported not cer e PKCS 12 format must be used it is specifically designed for private keys 3 3 2 4 Digital Download and Installation Issues Once the user s Digital ID has been generated it needs to be downloaded and installed on the user s machine This process is attempted directly after enrolment During this process there are two errors that are possible 3 3 2 5 Digital Certificate Could Not Be Installed This error occurs for a variety of reasons listed below in the error Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 90 ASX Limited INSTALL cA ASX Clear Futures Static Data Portal User Manual EQ ASX Error Digital ID Could Not Be Installed The most likely reasons for this problem are You may have already installed the Digital ID earlier Look at the Personal Certificates in the browser s Options menu If you see the Digital ID there you need not install it again The browser you are using now is not the same one you used when you enrolled for your Digital ID You must use the same browser on the same computer to enroll and install your Digital ID
41. it the record to the system Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 21 ASX Limited ASX Clear Futures Static Data Portal User Manual Ss Note An ASX User has the ability to complete the workflow of a Client or Clearing Participant initiated workflow In order to commence editing the record again the user who initiated the edit will need to complete and closeout the workflow associated with the record Where a record is not currently being edited the Outstanding Actions columns will be left blank Clearing Participant Client Entity Client Account Book Fund Outstanding Ledger SS Name E ext Actions i 1 9 5 Workflow Approval Rejection Process In order to either deploy a new record or changes made to an existing record to the system the record must be validated and approved by the Clearing Participant Approver Similarly to prevent either a new record or changes to an existing record from being deployed the record can be validated and rejected by the Clearing Participant Approver Where a Clearing Participant Approver has rejected a record a rejection reason must be applied to the rejected record The approval rejection process follows the four eyes verification principle that requires validation by a second party before changes can take effect within the system A user can be both an Submitter and Approver but the user cannot Approve
42. ith this Poge Complete Enrollment Form Enter your Digital ID informat Fill in all required fiekis Fiekis marked with an asterisk are included with your Digital ID and are viewable in the certificates details Enter In some cases your axinm naetraber well instruct you te enter Shared Secret information krnmewen anh to ou ard the administrator im this field The administrator wees this sheared secret to werif that it realhy iz you submitting the application This comment will mot be iInchoeded in your Digital ID If all the information abowe is correct click Submit to continue Cocwrigntzm 1935 2004 Weertzcageu ko AH gins reseed v VeriSign k TEVET ME Toe 4 The following fields must be entered exactly as advised by ASX Online Help Desk e First Name Last Name E mail Address e Passcode Provided with the confirmation email Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 40 ASX Limited ASX Cle 5 he only field not case sensitive is the Passcode The Challenge Phrase is a unique phrase set by the user and not shared with anyone It might only be needed if a non Internet Explorer browser is used for downloading the digital certificate or during certificate renewal 6 You will be requested to specify the level of security for your Private Key It is recommended that High protection is selected for better private key protection 7 This popup window appears for co
43. key Password Enable strong private key protection You will be prompted every time the private key is used by an application iF you enable this option 12 Click Finish to complete the Certificate Import Wizard A confirmation box will appear confirming that the import was successful Certificate Import Wizard 1 The import was successful Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 46 ASX Limited 3 3 3 3 1 ASX Clear Futures Static Data Portal User Manual 13 The certificate has now been successfully exported and imported Appendix 3 Troubleshooting Browser related Error Messages 3 3 1 1 This website only supports Internet Explorer 7 8 and 9 Issue The application will automatically check your browser for compatibility You will need to try a different browser version if you try to access the site and get the message Please note that the current implementation does not support Internet Explorer 6 3 3 1 2 HTTP 403 Forbidden Issue Why do get the error message HTTP 403 Forbidden This can happen if there is not a valid digital certificate stored on the computer You can check your certificate in Internet Explorer by going to Tools gt Internet Options gt Content gt Certificates Personal The certificate issued should match your login name Certificates Intended purpose lt All gt Personal Other People Intermediate
44. level the following diagram illustrates the workflow associated with approval rejection associated with both the creation of a new and the edit of an existing Client Account record Please note that this has not been differentiated by the Participant user role Colours identify the workflow status applicable Client Account Workflow Process Status Legend Status New Approve B status saved Approve or lt gt pe i 18 p Jec Reject a 4 hama Status Deleted Status Submitted mum Status Approved a Status Reject O Status CPSubmitted Status ASXReject ASX os vV Edit Client Save or Account Submit Save Enter Client Approver Save d Account Yes reviews rejected Details message Save Save or Submit Submit Save or N o Submit O Submit E Cl Submit or 95 Q Enter Client Close PN O i Delete or 2 create New Client Account Account 4 4 S 7 Delete 4 il Submit N Ye Details Saved Client Account Edit Client Q Submit record is deleted from Account gt o0 Submit system Edit Client YES Client Account D Account record Approved O pp Rejected Approve or Impact Reject Identified Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 24 ASX Limited ASX Clear Futures Static Data Portal User Manual 1 10 Clearing Participant E
45. lly installed open the Internet Explorer browser and click on Tools Internet Options Content Certificates and check that the expiration date is one year in the future ASX has configured the following policy relating to the Passcode expiry period and the lockout threshold for invalid entries The Passcode expiration for enrolment is set to one month from the date of issue The lockout threshold is set to three attempts The fourth invalid entry will lockout the registration record and will require the ASX to reset the Passcode for the user Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 ASX Limited ASX Clear Futures Static Data Portal User Manual 3 24 Exporting Importing Procedure As a digital certificate can only be downloaded from the VeriSign website once this manual Outlines the steps to export a digital certificate from one PC to another This will be required for Business Continuity Processing Disaster Recovery BCP DR sites where a certificate will need to be installed on the BCP DR PC in addition to the normal production PC Before importing or exporting a digital certificate please ensure the following checklist has been followed e Private keys must be included in any import or export i e ensure pfx format is imported exported not cer e PKCS 12 format must be used it is specifically designed for private keys 3 2 4 1 Exporting a Certificate 1 In Internet Explorer click on
46. load and Installation of the Root Digital Certificate sess 39 323 Enrolment Downloading and Installation Procedure of the user certificate 40 3 2 4 Exporting z Imponing PIOCCOUIG oraaa a baratos map ua EE ER 42 OP S NE S oro Mio ERO ez anne A a 42 9 242 Imporihngra CLTC cosa eodein net iate eto eta Ue istae i el ede aetatis itane mad es 44 3 3 PAP REN DIK Ore ROUBLE OO TING erai basti a ti eet testen det a bebes fedens 47 DOT Browser related Error Messages ssi tantae tn staat a a dana n 47 Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 2 ASX Limited ASX Clear Futures Static Data Portal User Manual 3 3 1 1 This website only supports Internet Explorer 7 8 and 9 Issue ssssseeeneenees 4T 3 92 Mie Od Forbidden ISSUD soe tio aa e a se cent Cit ucro cote a 47 SM RSEN SEND ISSUC em e E mm 4T 3 9 4 Bio rc Ber Tes ISSUE cC EN 49 3 3 2 1 Issues with Enrolment for a Digital ID io etc ur e te e er ee eo e e e EO OH 49 3 3 2 2 Issues with Download and Installation of a Digital Certificate sns 50 3 3 2 3 Issues with Importing and Exporting Digital Certificates 50 3 3 24 Digital Download and Installation Issues cc ccssssssessssssssscessscsssssscessecsssesaeseseesseesacsesessssesassrsesasrsasersns 90
47. ly signed by Microsoft If you did not see this dialog see the next point below This program is required to enroll for a certificate and is safe to run on your computer and it s authenticity is proven by the digital signature on the program which was verified when you saw the dialog You may have turned Active Content off The enrollment page uses an ActiveX control to do the certificate request generation Please turn on ActiveX by going to the Security Settings tab in the Internet Options dialog of the View menu Please set the security settings to Medium which is the Microsoft default security setting You may not have required ActiveX Controls installed If you are running Windows 2000 or Windows XP please ask your system administrator to install OnSite MSI package for you Copyright 1998 2004 VeriSign Inc All rights reserved v VeriSign TRUST NETWORK This issue may occur on a XP machine that did not have the required ActiveX Controls installed Installation of the Onsite MSI package resolved this issue and allowed the digital certificate to be downloaded Please refer to your internal technical support for further information relating to this 3 3 2 2 Issues with Download and Installation of a Digital Certificate Ensure user has clicked on Install CA from the Digital Id Centre site to install the CA e Ensure above mentioned CA has been installed to Trusted Root Certification Authorities e During installat
48. nctional field validation rules are applied when submitting a record in the system An Approver user will have the ability to approve or reject records that have a status of submitted Approve Approved Approver The submitted record has been approved by the Approver user and is now deployed to the system Or Where the record submitted CP Submitted for review and approval by the ASX was approved Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 11 ASX Limited ASX Clear Futures Static Data Portal User Manual User Role who can perform action Rejected Approver The submitted record has been rejected by the Approver user and will be available to be amended prior being either re submitted or deleted from the system by the Submitter user Where a record has been rejected a Reject reason will need to be appended to the record Approve CP Submitted ASX User The CP Submitted status will be triggered where the Clearing Participant has attempted to make a Client Account Inactive from either an Active or Hold State Reject ASX Reject ASX User The CP Submitted record has been reviewed and rejected by the ASX The record can be amended prior to being either re submitted or deleted from the system by the Participant Submitter user Where a record has been rejected the ASX will append a Reject reason to the rejected record 1 8 Approved Status States Once a record has traversed through the workflow ap
49. nes ao aeaa e ea araa n ea Eaa a eda duin ctus 8 1 5 1 create a neW Usel sci emai 8 1 5 2 Uer oea IMPR RENTEN TT ne a ee ee ee nee ee eee en 9 1 5 3 EOC USO e TES 9 1 6 CLIENT CLEARING ACCOUNT FUERARC BUY 3st osccta sconti bae doo iE a vei rra ch RR e deb vo tile dd ets 10 IT WORKFLOWS STATUS amp ACTION STATES sctstosac o uncestessncesartancustesannenagstuscstonanesseatonnas aeancnbd estauatenonienedts 11 1 8 APPROVED OT AMOS STATES ainn 12 1 9 RECORD SEARCH F AOE NEN OTT 14 1 9 1 OUK SGO raai a a a E ne ee ee 14 1 9 2 Search Crena eiio a aaao reset eA 15 1 9 3 Bode E SDIIS era ee Peet ee rete ee satu er eee N Ride 19 1 9 4 VICWING ANG Eating ReCOLUS ssi asta rese cmd at M RUP EF ecd a MI d m MU DR Id UE DUE 21 1 9 4 1 Viewing Approved Records nennen nnne nnne nnn annia insta tian iia insta tian sia sanas 21 1 942 MOWING dii Edited RECOM iocans heu teda te Meuta iacta incense ua en Nux teu RES A 21 1 9 4 3 View Editing a record currently in the process of being edited 21 1 9 5 Workflow Approval Rejection Process esses eene nnn nnns 22 1 9 5 1 Clearing Participant Entity Workflow Approval Rejection Process nnne 23 1 9 5 2 Client Account Workflow Approval Rejection Process 24 TAG CLEARING PARTICIPANT ENTITY RECORDS 25smte easi deu tia Ceo a Fas E A PER as E 25 1 10 1 Accessing an editing an existing Clearing Participant record
50. nfirmation of your e mail address Microsoft Internet Explorer EN xj 9 Confirm your e mail address se jsmith participant com If your e mail address is correct click OK if not click CANCEL and correct it in the enrollment Form If the e mail address is not correct you will not be able to use your Digital ID j Cancel 8 f the address is correct click on OK The warning window Web Access Confirmation appears Potential Scripting Violation E X Tris Web site is requesting a new certificate on your behalf You should allow only trusted Web sites to request a certificate For you Do you want to request a certificate now 9 f you have confirmed that the web site is authentic click on Yes to request the certificate The following warning window appears Potential Scripting Violation E d X This Web site is adding one or more certificates to this computer Allowing an untrusted Web site to update your certificates is a security risk The Web site could install certificates you do not trust which could allow programs that you co not trust to run on this computer and gain access to your data Do you want this program to add the certificates now Click Yes if you trust this We site Otherwise click No 10 Click on Yes to add the certificate to your computer 11 After the certificate is successfully installed you should receive a confirmation page To confirm that the certificate has been successfu
51. ntity Records Details associated with each Clearing Participant are maintained across a number of pages assessable by a tabbed page design layout Clearing Participant information is associated with the following tabs Details Contacts 1 10 1 Accessing an editing an existing Clearing Participant record Access to existing Clearing Participant Entity information saved into the Database is via the Record Search page Clearing Participant Client Entity CTI BBB Client Account Book Fund Outstanding Code NP Capital C Client C NN Name Type RC IRE o o Status Actions ACTIVE Use the following steps to access the information sojn u Jom NN 1 Data Entry Submitter or On the record search page and within the Search Criteria pane Approver select the Clearing Participant Code from the drop down list 2 Click Search Submitter or button Approver 3 View Data Submitter or Search results will be retuned based on the search criteria entered Approver Click Approval Submitter or The Approval Status hyperlink will appear next to the Clearing Status Approver Participant record in the Status column within the Search Results hyperlink pane Once clicked the Clearing Participant Entity record will be displayed D Commence Submitter The Clearing Participant submitter can commence editing existing editing information appended against the Clearing Participant information against the Clearing Participant Enti
52. ntity is returned Indicator for Nominated Person can be either Y when Client Entity has been configured as a Nominated Person or Blank where a Client Entity code has been configured as a CPM Client or Capital C Client Capital C Client Returns the Capital C Client where the Client Entity has been configured as a Nominated Person Book Fund Name Returns the individual Approval status associated with each record displayed In order to view the Approved record the status will be represented as a hyperlink which can be clicked to open up the page associated with that record Outstanding Actions Returns the individual Workflow status and Firm who performed the last update associated with each record displayed In order to view the Workflow record the status and User Role will be represented as a hyperlink which can be clicked to open up the page associated with that record Where a record does not have a Workflow status i e currently in the process of being edited or created the field will be blank Last Actioned Date Returns the last date and time the record was updated or modified In order to search for a record where specific search criteria have been appended use the following steps CS Jom NN 1 Data Entry Submitter or select or enter criteria in the available fields within the Search Approver Criteria pane 2 Click Search Submitter or button Approver Submitter or Search results will be retuned based
53. o the Client Account A Futures Client Account cannot be configured as an Omnibus Account The creation and allocation of Omnibus Client Accounts will be as per the existing configuration and allocation process within Secur Genium 1 7 Workflows Status amp Action States In order to create or edit existing records within the Static Data Portal a workflow approval process is enforced to ensure that data is verified and validated prior to being deployed The following workflow status states are assigned by the system based on the action performed by a Clearing Participant user User Role who can perform action Save Saved Submitter The record has been saved to the system but has not yet been deployed Mandatory and functional field validation rules are not applied when saving a record into the system A Submitter user can save a record into the system An Approver user does not have the ability to approve or reject records that have a status of saved Cancel Deleted Submitter A record that is currently in the process of being created but is not yet approved can be deleted from the system The delete can only apply from the saved state The edit performed against an Approved record can be deleted from the system The delete can only apply from the saved state A deleted record cannot be viewed or retrieved at a later date Submit Submitter The record has been submitted for approval by the submitter user Mandatory and fu
54. proval process an approved status will be assigned to the record The approved status represents the end deployed state of the record and can be one of the following se owen Re Active The record is active within the All active records associated with the Clearing Participant users system Firm code can be viewed within the system Inactive The record is not active within As a Clearing Participant user a Client Account as well as the the system Book Funds associated with the Client Account can be made Inactive As a Clearing Participant user any Client Accounts set to Inactive can still be viewed within the system A Hold status can be In a default scenario where the Client has defaulted as a representative of a number of Participant user the Client Account can be set to Hold scenarios where no action can be taken against the record As a Clearing Participant user any Client Accounts set to Hold can Hold is applicable in the still be viewed within the system scenario where the Client Entity has defaulted Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 12 ASX Limited ASX Clear Futures Static Data Portal User Manual me owe te Pending A Client Entity record is neither Where a Client Entity has been set to Pending Client Accounts active nor inactive within the records created against the Client Entity can only be created in a system and is in the process of Pending status bein
55. re the Inherit Address from Client Entity tick box has not been ticked or automatically where the Inherit Address from Client Entity tick box has been ticked Field is required Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 37 ASX Limited ASX Clear Futures Static Data Portal User Manual 2 Contacting Support 2 1 ASX Online Helpdesk Support Phone 1800 682 484 Email participants online asx com au 2 2 ASX Clearing Operations Phone 1800 240 033 or 612 8298 8479 Email asxclearfutures asx com au Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 38 ASX Limited ASX Clear Futures Static Data Portal User Manual 3 Appendices 3 1 Appendix 1 Registration Form Registration Form for ASX Clear Futures Static Data Portal Clearing Participant or Client Administrator user Static Data Portal Registration Form pc 3 2 Appendix 2 Digital Certificate Procedure To obtain a digital certificate your Clearing Participant or Client Administrator user must first create the user in ASX Clear Futures Static Data Portal as outlined previously After the ASX Online Help Desk has pre registered the certificate you will receive an email with details on how to enrol The email will be sent to the email address that has been registered in ASX Online Before enrolling and downloading a digital certificate please ensure the following checklist has been followed 3
56. res Static Data Portal User Manual Client Account Code Drop Down Client Account Free Text Name Swapswire Id N A Book Fund N A Code Book Fund N A Name Clearing Participant Status Drop Down Clearing Participant Outstanding Actions Drop Down Client Entity Status Drop Down Client Entity Outstanding Actions Drop Down All Client Accounts associated with the Participant Firm will be visible within the dropdown list Where a Client Account has been selected from the drop down list Client Account Name Swapswire Id fields cannot be edited A search can be performed on a Client Account Name Where a Client Account Code has been selected the Client Account Name is returned and cannot be edited N A N A N A Options available will be either Blank or Active Options available will be either Blank or Saved or Submitted or Rejected Options available will be either Blank or Active This will be blank Where a Client Account Code has been selected trom the drop down list the Client Account Code will be returned in the search results pane along with the Parent information A Client Account Name can be entered as text without wildcard characters or with wildcard characters added Wild card characters include matches zero or more characters Client Account s matching the Client Account Name text string entered will be retu
57. rned in the search results pane along with the Parent information N A N A N A When used in isolation all records associated with the Clearing Participant will be returned When used in Isolation all records matching the status entered will be returned When combined with Clearing Participant Status the records returned will act as a union join between the two status When used in isolation all records associated with the Client Entity will be returned N A Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 17 ASX Limited ASX Clear Futures Static Data Portal User Manual Client Account Drop Down Options available will be either When used in Isolation all records Status Blank or Active or Inactive associated with the Client Account will Pending or Hold be returned When combined with Clearing Participant Status the records returned will act as a union join between the two status i e Active CP Active Client Account will only return records where the CP AND associated Client Account are Active Client Account DropDown Options available will be either When used in isolation all Client Outstanding Blank or Saved or Submitted or Accounts matching the status entered Actions Rejected or CP Submitted or ASX Will be returned Rejected When combined with Client Account Status the records returned
58. s day User Accessibility The first user s at any Clearing Participant will need to be set up by the ASX as a Clearing Participant Administrator User see section 2 4 1 1 Clearing Participant Administrator User Set Up for details on how to do this This Administrator User will then be able to create and update further users Clearing Participant Administrators Submitters and Approvers Creating Users The ASX Clear Futures Static Data Portal uses user types and permissions to control access There are three user types associated with the portal namely 1 Clearing Participant Administrator This user controls the right to assign user permissions for the Clearing Participant This user can assign a user against either Clearing Participant Administrator Clearing Participant Submitter Clearing Participant Approver 2 Clearing Participant Submitter This user can enter and submit static data information for approval 3 Clearing Participant Approver This user reviews and either approves or rejects static data submitted by the Clearing Participant Submitter Section 2 5 1 provides step by step instructions on how the Administrator Users can create further user profiles within the SDP Note More than one user role can be assigned against a user by the Clearing Participant Administrator Where a user has been assigned against a Clearing Participant Submitter and Clearing Participant Approver role that user c
59. s reserved 2014 34 ASX Limited ASX Clear Futures Static Data Portal User Manual Co HN Inherit Details This tick box will apply the ABN LEI amp Company Registration number fields from the from Client Client Entity to the Client Account Entity Where the Inherit tick box has been ticked the ABN LEI and Company Registration Number fields cannot be amended Any changes that occur at the associated Client Entity will be inherited automatically The Inherit tick box will not be available where the Client Account has been configured as an Omnibus account Australian Business Number The ABN can be applied individually where the Inherit Details from Client Entity tick box has not been ticked or automatically where the Inherit Details from Client Entity tick box has been ticked An ABN or LEI or Company Registration Number is required to be appended against the ICA Legal Entity Identifier The LEI can be applied individually where the Inherit Details from Client Entity tick box has not been ticked or automatically where the Inherit Details from Client Entity tick box has been ticked An ABN or LEI or Company Registration Number is required to be appended against the ICA Company International Company Registration Number Registration number The Company Registration Number can be applied individually where the Inherit Details from Client Entity tick box has not been ticked or automatically where the Inherit Details from Client
60. system to create a new password If your password has expired a message will be displayed when you next attempt to log in to ASX Clear Futures Static Data Portal You will not be able to log in until you have changed your password All password changes are conducted through ASX Online To change your password follow the prompts presented to you on screen Please note the following requirements must be met when setting your password 1 Passwords must contain characters from at least three 3 of the following four 4 classes English upper case letters i e A Z e English lower case letters i e a z e Numeric Values i e 0 9 Non alphanumeric special characters of dollar sign or _ underscore 2 Passwords may not contain the username or any part of the user s full name 3 Passwords must be between 8 12 characters long 4 New passwords must not be the same as the previous password Operating Hours The ASX Clear Futures Static Data Portal is available to users 24x7 365 days per year Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 9 ASX Limited 1 4 1 4 1 ASX Clear Futures Static Data Portal User Manual KA Note Changes to Static Data will not be reflected in daily EOD Static Data Reports unless the change was made and approved prior to 6pm AEDST Mon Fri Changes made outside of these hours will be reflected in Static Data Reports available at the end of the next busines
61. t be available where the Client Account has been configured as an Omnibus account The street address of the Client Account Use multiple lines as appropriate i e Address Line 1 Level 3 Field is required Address Line 2 20 Bridge St Address Line 3 leave blank The Address can be applied individually where the Inherit Address from Client Entity tick box has not been ticked or automatically where the Inherit Address from Client Entity tick box has been ticked City Suburb associated with the street address The City Suburb can be applied individually where the Inherit Address from Client Entity tick box has not been ticked or automatically where the Inherit Address from Client Entity tick box has been ticked Field is required Available Australian States where Country has been set to Australia otherwise the field is hidden where Country is other than Australia The State can be applied individually where the Inherit Address from Client Entity tick box has not been ticked or automatically where the Inherit Address from Client Entity tick box has been ticked Post Code Zip associated with the Street Address The Postcode Zip can be applied individually where the Inherit Address from Client Entity tick box has not been ticked or automatically where the Inherit Address from Client Entity tick box has been ticked Field is required Country associated with the street address The Country can be applied individually whe
62. tions Contact 1 Job Title Operations Contact 1 First Name Operations Contact 1 Last Name Operations Contact 1 Phone Operations Contact 1 Email Contact in Case of Default 1 Job Title Contact in Case of Default 1 First Name Contact in Case of Default 1 Last Name Job Title associated with the Legal Contact 1 and 2 Legal Contact 1 information is mandatory First Name associated with the Legal Contact 1 and 2 Legal Contact 1 information is mandatory Last Name associated with the Legal Contact 1 and 2 Legal Contact 1 information is mandatory Phone Number associated with the Legal Contact 1 and 2 Legal Contact 1 information is mandatory Email Address associated with the Legal Contact 1 and 2 Legal Contact 1 information is mandatory Job Title associated with the Operations Contact 1 and 2 Operations Contact 1 information is mandatory First Name associated with the Operations Contact 1 and 2 Operations Contact 1 information is mandatory Last Name associated with the Operations Contact 1 and 2 Operations Contact 1 information is mandatory Phone Number associated with the Operations Contact 1 and 2 Operations Contact 1 information is mandatory Email Address associated with the Operations Contact 1 and 2 Operations Contact 1 information is mandatory Job Title associated with the Contact in Case of Default 1 and 2 Contact in Case of Default 1 information is mandatory First Name associated with
63. ty Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 20 ASX Limited ASX Clear Futures Static Data Portal User Manual 1 10 2 Clearing Participant Entity Details Clearing Participant details such as name and address information can be found on the Clearing Participant Entity Details tab Clearing Participant Entity ID 296 Workflow Status Deployed Clearing Participant Code CAL Clearing Participant Legal Name CAL CP Exchange ASX Clear Futures LEI 2332344D5A4 ABN 44 888 999 132 Address 20 Bridge St City Suburb Sydney State NS Postcode Zip 2000 Country AUSTRALIA A Information that can be amended on this page include the following Legal Entity Identifier of the Clearing Participant um The Australian Business Number of the Clearing Participant Field is mandatory Address The street address of the Clearing Participant Use multiple lines as appropriate i e Address Line 1 Level 16 Chifley Tower Field is mandatory Address Line 2 2 Chifley Square Address Line 3 leave blank Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 26 ASX Limited ASX Clear Futures Static Data Portal User Manual ma fom City Suburb Field is mandatory Field is mandatory Postcode Zip 1 10 3 Field is mandatory Clearing Participant Entity Contacts City Suburb associated with the street address Available Australian States where Country
64. will act as a union join between the two Status i e Active Saved will only return Client Account records that are Active that also have a Saved workflow appended against it Book Fund Drop Down Status Book Fund Drop Down Outstanding Actions Filter Inactive Check Box Allows a user to filter Inactive records Inactive records will be either omitted from the Search result pane where check box has been checked or displayed where check box has been unchecked Copyright 2014 ASX Limited ABN 98 008 624 691 All rights reserved 2014 18 ASX Limited ASX Clear Futures Static Data Portal User Manual 1 9 3 Search Results The results of either a Quick Search or specific Search Criteria appended will be visible within the search Results pane Clearing Participant Client Entity Client Account Book Fund Outstanding Last Action cp Ledger cri Code NP Capital C Client Code Name Type Code Name EE Actions Date E cxL ACTIVE Demme 11 04 2014 09 57 NZF Client ACTIVE 24 03 2014 10 14 SFE Client ACTIVE 11 04 2014 10 00 The search results pane provides a visual representation of the Client Clearing Account Hierarchy related to the Clearing Participant Each row represents a unique record within the Account Hierarchy structure Colours are assigned to an Outstanding Action for quick identification The colours applicable against each Outstanding Action status are as follows Saved Where the re

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