Short sale reporting - ASX Online notes for submitting Gross short sale reports via ASX Online Page...

User notes for submitting Gross short sale reports via ASX Online of 15

Short sale reporting User notes for submitting Gross short sale report via ASX Online November 2008 Version 2.0

User notes for submitting Gross short sale reports via ASX Online


Contents Introduction ................................................................................................................................................... 3 ASX Gross short sale reporting facility .................................................................................................................. 3

Prior to submitting your Gross short sale report................................................................................ 3 1: Access the Gross short sale reporting facility ............................................................................... 4 2: If required, select cost centre ........................................................................................................ 5 3: Select a mode for entering the Gross short sales......................................................................... 6 4: If required, modify the data to be submitted.................................................................................. 8 5: Submit the finalised report............................................................................................................. 8

Error Messages and Trouble Shooting ................................................................................................................. 9 Reports ...................................................................................................................................................... 12

Broker Report .................................................................................................................................. 12 Market Report.................................................................................................................................. 14



Introduction About this Guide This manual has been designed as a practical, user-friendly Reference Guide for the ASX Gross short sale reporting facility. This guide includes details/instructions on how to:

Access the Gross short sale reporting facility Submit Gross short sales Perform a search on historical data submitted by your own broker Perform a search on historical aggregated Gross short sale reports for the market

Please contact Market Control on 1300 655 560 if you have any queries regarding the content of this guide.

ASX Gross short sale reporting facility This service facilitates the reporting of Gross short sales directly to ASX using www.asxonline.com, thereby avoiding the need to use email or fax as a means of transmission.

The following points summarise the steps involved when using the facility. These are described in more detail in the remainder of this document:

1. Access the facility via https://www.asxonline.com.

2. If required, select cost centre

3. Select a mode for entering the Gross short sale daily reporting obligations:

a) Submit a Nil Gross short sale report

b) Import the data from a comma separated (csv) file c) Manually enter the data

4. If required, modify the data to be submitted

5. Submit the finalised report

Prior to submitting your Gross short sale report

Before you commence submitting Gross short sale reports you will require:

Access to the Internet An ASX Online User Name and Password An ASX Online Company Pin

If you do not have an ASX Online User Name, Password or Company Pin, please contact the ASX Online administrator in your firm. They will provide you with these details. If you do not know who your ASX Online administrator is, please contact the ASX Online Help Desk on 1800 682 484 or via email at [email protected].



1: Access the Gross short sale reporting facility

Step Actions Notes

1 Start your web browser

2 Access the ASX Online website by entering the following web address in the Address field: https://www.asxonline.com

Your screen should appear similar to the following:

3 Click on Participant to display the following screen:

4 Select Short sale reports:



1: Access the Gross short sale reporting facility

Step Actions Notes

5 Sign onto the Gross short sale reporting system using the ASX online user name and password provided by your firm’s ASX online administrator.

Create a shortcut to this web page:

• Using your mouse right click anywhere on the page

• Select Create Shortcut A shortcut to this page will be placed on your Desktop. Alternatively you may add this web address to your Favorites in Internet Explorer.

Already logged on

If you are already logged on this step will be omitted, as you have already been authenticated by the system.

2: If required, select cost centre

Step Actions Notes

6 Select the relevant Cost Centre number

Broker has only one Cost Centre

If your broker has only one cost centre this step will be omitted, as the cost centre is already known by the system



3: Select a mode for entering the Gross short sales

Step Actions Notes

7 Submit your Gross short sales by using one of three options

Option 1: Submit a NIL position by selecting Nothing to report and submitting

Option 2:

Import the data from a comma separated (csv) file

Option 3:

Manually enter the data

Note: Do not proceed if an error message is displayed in red at the top of this screen. Refer to Error Messages section of this document for an explanation of the error and possible reasons why the error has occurred.

If you continue to experience problems when uploading your Gross short sale report please contact Market Control on 1300 655 560 for further assistance.

Option 1: Select Nothing to Report

(i) Tick the tickbox located next to the “I certify that…” text

(ii) Enter your Company PIN in the box provided.

(iii) Click “Certify”



3: Select a mode for entering the Gross short sales

Step Actions Notes

Required formatting of the csv file:

Date: Cell A1 must include

the date. The date format must be

dd/mm/yyyy or dd/mm/yy.

ASX Security Code: The security code must be entered in

Column A, commencing at row 3. Valid ASX codes only

will be accepted.

File Format: The file must be saved as a .csv

file format. Blank lines and

blank cells are not accepted.

Broker number:

Cell A2 must include your

Broker Number and Cost Centre in the format bbb-c.

Option 2: Import the data from a comma separated (csv) file

(i) Select the ‘CSV file’ option.

(ii) Click ‘Browse’. This will take you to your PCs explorer.

(iii) Select the required file.

(iv) Click ‘Open’.

(v) Click ‘Copy data’.

This will import the data contained in the selected csv file and display it on the screen.

Gross short sale volumes: Quantities must be entered in Column B, commencing at row 3.

Zero volumes are not accepted. Any formatting, including leading negative indicators (‘-‘), commas as thousand

separators or decimals, is not accepted.

Option 3: Manually enter the data

Manually enter the data Enter security codes and volumes for all reportable short sales as illustrated. Use the tab key or the mouse to move between cells. (Please note: pressing Enter will not move you to the next cell, however, will perform a preliminary check on the data entered so far and take you to the top of screen).

Additional cells can be added by clicking the “Add More Data” button at the bottom of the list.



4: If required, modify the data to be submitted

Step Actions Notes

8 At this stage you may add, delete or amend any or all of the data that appears on the page.

To add additional cells for entering more data, select the ‘Add more data’ button located at the bottom right hand side of your screen.

To amend data, select the relevant cell, delete the current data and re-enter the correct data.

To delete data, highlight the relevant cell and press the delete key.

To delete all data on the page, select the ‘Clear page’ button located at the bottom left hand side of your screen.

5: Submit the finalised report

Step Actions Notes

9 Once all data is correct and ready to be submitted to ASX for processing:

(i) enter your Company PIN in the ‘Enter PIN’ section at the bottom left hand side of your screen.

(ii) click the ‘Submit’ button located at the bottom right hand side of your screen.

A confirmation message that your report has been successfully submitted will appear at the top of the screen and the status will change from ‘Not Submitted’ to ‘Submitted’.

If an error occurs when executing this step, the error text will be displayed in red at the top of this screen. Refer to Error Messages on page 10 of this document for an explanation of the error and possible solutions.

If you continue to experience problems when uploading your Gross short sale report please contact Market Control on 1300 655 560 for further assistance.



Error Messages and Trouble Shooting If an error is encountered at any stage throughout the process a message will be displayed in red at the top of the screen. An error message may display when:

the user clicks on Browse and selects their file the user imports the data from the file by selecting Copy data the user Submits their positions

A copy of the error messages (displayed in red) and possible reasons why the message may have appeared are described below. If you continue to experience problems after reading this section please contact Market Control on 1300 655 560 for further assistance.

An error occurred while uploading your file. Please contact our help desk on 1800 682 484.

Does the original spreadsheet contain any blank cells in columns A or B? Blank cells between completed cells are not accepted.

Does the original spreadsheet contain any zeros (0) in columns A or B? Zeros are not accepted. Is the quantity field formatted using commas separating the thousands and hundreds e.g. 1,000? If so, select the relevant cells and click on Format Cells select the Number tab click on

General press OK. If all else fails:

o Open a new blank spreadsheet o Select cells in columns A and B containing information o Copy these cells o Place the cursor in cell A1 of the blank spreadsheet and select Edit Paste Special under the

Paste section click on Values click OK o Check that the date format is correct. If not, change the date. o Save this spreadsheet as a comma separated file (.csv) by selecting File Save As … select

the option CSV (comma delimited) (*.csv) in the Save as type: field located at the bottom of the Save As dialogue box.

The file name is incorrect. The file must be a csv file and the file name must be less than 30 characters.

Is the file format of the spreadsheet comma separated (i.e. .csv file extension)? o To check open the spreadsheet (it should open in Excel) and select File Save As … the

Save as type: field located at the bottom of the Save As dialogue box should display CSV (comma delimited) (*.csv).

How many characters does the filename have? It may not exceed 30 characters.

Please check the date in the first line of your file. The date must be dd/mm/yyyy or dd/mm/yy.

Does the date in your spreadsheet reflect the correct trading day? If submitting positions between close of trading and midnight the date should reflect the current trading day’s date; if submitting positions after midnight until 09:00 the following morning, the date should be that of the previous trading day.



Is the date in the correct format? The system accepts dd/mm/yyyy or dd/mm/yy formats only. The year must be 2 or 4 characters. The separator must be a ‘/’ only; ‘-‘ are not accepted.

American style dates are not accepted. If the date appears to be correct it is possible that you have additional ‘comma separators’ after the

date. These separators are only visible in Notepad, not Excel. Open the file using Notepad to ascertain if there are additional comma separators (displayed as commas) after the date. If this is the case, simply delete the additional commas in Notepad, save and re-import the file.

Please check the account number in the second line of your file. The account number must be bbb-c.

(Note: The reference to ‘account number’ indicates ‘broker number’.) Does the broker number appear in cell A2? Is the broker number valid? Is the broker number format bbb-c?

You have not entered any data.

Have you clicked on the ‘Copy data’ button prior to selecting ‘Submit’? Is there data displayed in the cells?

Please select a file to upload.

Have you selected a file using ‘Browse’ prior to selecting ‘Copy data’?

Please enter data in your upload file.

Ensure the file you have imported is not blank?

Please check your PIN. Either your PIN is incorrect, or you have not entered it.

Have you entered your Company PIN in the ‘Enter PIN’ section? Have you entered an incorrect Company PIN in the ‘Enter PIN’ section?

Errors have been found in fields marked with an 'X'. Please correct and resubmit the report.

Does the spreadsheet contain an invalid ASX code? Only securities currently ‘quoted’ on ASX will be accepted. Securities not currently quoted on ASX are denoted with an X.

Short positions established in ‘special market’ securities must be included as part of the Gross short sales for the main (or parent) security. For example, if a short position is established in ‘special



market’ code CBACD (that is, CBA trading on a CD basis of quotation), this short position must be incorporated in the Gross short sales for the main (or parent) security, in this example, CBA. A short position submitted for CBACD will not be accepted since the security CBACD is not officially quoted on ASX, rather established to facilitate trading in a special market.

Is there another occurrence of this security code? Duplicate entries are not accepted and are denoted with an X.

Does the spreadsheet include symbols, for example, commas (,) or negatives (-) in the quantity field or other symbols [!@#$%^&*()?]. o If there are symbols in the quantity field, e.g. a comma, the system changes the quantity to 0. The

user will be required to change the forma t of column B to General (via the menu options: Format Cells select Number tab) and then re-import the spreadsheet. Even though zeros are displayed on the screen they are not a valid quantity.

o A negative symbol preceding the quantity is imported however a ‘-‘ has to be deleted in order for the report to be successfully processed.



Reports

Broker Report

The Broker Report enables you to view Gross short sale reports previously submitted to ASX by your broker for processing. The current day’s report will be available after close of trading on that day.

Actions Notes

To view the data submitted by your broker for a single day:

1. Select Broker Report

2. You can view the broker details using one of two options:

Option 1: View data submitted for a single day

Option 2:

View data submitted for a range of dates

Select the relevant Broker / Cost Centre combination

Broker has only one Cost Centre If your broker has only one cost centre

this step will be omitted, as the cost centre is already known by the system



Actions Notes

Option 1:

To view the data submitted by your broker for a single day:

1. Enter the date in the To field only using the format dd/mm/yyyy or dd/mm/yy

2. Press Submit

This action will display all data submitted by your broker for the date specified.

Option 2:

To view the data submitted by your broker for a range of dates:

1. Enter the range start date in the From field and the range end date in the To field using the format dd/mm/yyyy or dd/mm/yy

2. Press Submit

This action will display all dates within that range for which your broker submitted a Gross short sale report to ASX.

Click on a date to view the Gross short sales reported for that date for your broker.



Market Report

The Market Report enables you to view previously published Gross short sale reports for the entire market. The report displays the aggregated data compiled for the market. The current day’s report will be available after close of trading on that day.

Actions Notes

To view the aggregated Gross short sales for the entire market:

1. Select Market Report

2. You can view the market details using one of two options:

Option 1: View data submitted for a single day

Option 2:

View data submitted for a range of dates

Option 1:

To view the aggregated Gross short sales for the entire market for a single day:

1. Enter the date in the To field only using the format dd/mm/yyyy or dd/mm/yy

2. Press Submit

This action will display the Gross short sales for the entire market for the date specified.



Actions Notes

Option 2:

To view the aggregated Gross short sales for the entire market for a range of dates:

1. Enter the range start date in the From field and the range end date in the To field using the format dd/mm/yyyy or dd/mm/yy

2. Press Submit

This action will display a list of each trading day within that range. Click on a date to view the aggregated Gross short sales for the entire market for that date.

If you have any queries regarding the content of this publication please contact Market Control on 1300 655 560 for further assistance.

Short sale reporting - ASX Online notes for submitting Gross short sale reports via ASX Online Page...

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