In order to have access to broker numbers, one must have a SEATS Access Agreement in place (to get access to SEATS, must have agreement, which contractually obliges compliance to SEATS Reference Manual and ASX Business Rules). Anyone with a SEATS Access Agreement is bound by the ASX Business Rules and the SEATS Reference Manual, which in Chapter 6, expressly outlines that broker identifier or broker name are classified as restricted information and are not to be disseminated "to anyone who is not a Designated Trading Representative (DTR) except where that person is employed by an ASX Trading Participant and has a need to access that data as part of their duties". (6-32).
The ASX Business Rules, Section 2.2.3(1)(b) also outlines the responsibility of the Trading Participant to abide by the SEATS Reference Manual and hence comply with the rules on restricted information.
The knowledge of broker numbers or identifier codes would have no material effect on the price or value of securities. Essentially the answer is there is no advantage or uneven playing field due to the restriction of release of this information
Craig Walker Australian Stock Exchange Limited Exchange Centre Level 7, 20 Bridge Street Sydney NSW 2000 Phone: 1300 300 279 Fax: (61 2) 9227 0885 e-mail: [email protected] http://www.asx.com.au
Australian Stock Exchange Limited believes that all information contained herein is accurate and reliable. However no warranty of accuracy or reliability as to such information is given and no responsibility for loss arising in any way from or in connection with errors or omissions in any information (including responsibility to any person by reason of negligence) is accepted by Australian Stock Exchange Limited, its subsidiaries or their employees. The information contained herein should in no way be construed to constitute a recommendation by Australian Stock Exchange Limited with respect to the purchase or sale of any securities. Independent professional advice should be sought before making any investment decision.
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