Overview
The aim of this implementation process is to set up your environment to allow day-to-day use of ASIC FIX. Below, we provide some useful information on the three main steps of the implementation.
Should the need arise, the FundApps Support team is available to help you during every step of the process.
Accessing Your Environment
Standalone Users
The user setup will be done via our Client Success team, and you will need to provide a list with the following pieces of information:
Username
Email
Type of access (write/read)
Users who have access to the Regulatory Connectivity service can upload short positions files and send filings to ASIC (write access) or review the data previously uploaded (read access).
If there is a requirement to set up a single sign-on via SAML in your organization, our SSO article documents the process.
Shareholding Disclosure Users
All Admin/Manager/Reviewer users will be able to see the new Regulatory Connectivity module at the top banner of the screen. However, only admins and managers will be able to Upload and Send Filings to ASIC.
Please find more information about setting up new users and user roles.
Setting Up the Short Positions File
The file should be provided in CSV format. For a successful upload, the file must include the following 4 fields:
Seller ID,
Stock Code,
Short Quantity,
Position Date.
Seller ID
For first-time filers with ASIC, we require an ASIC identifier to be used. If this is not your first time filing with ASIC, then we accept all of the identifiers below:
ASIC Identifier,
Australian Business Number (ABN),
Australian Company Number (ACN),
Australian Registered Body Number (ARBN),
SWIFT Bank Identifier Code (BIC).
The ASIC identifier must be consistent across all filings.
If an ABN is provided, it must relate to the entity's ACN or ARBN.
If a BIC is provided, then the full SWIFT BIC code should be provided, including any applicable branch code. For example, a SWIFT BIC code for a branch office should always be 11 characters.
Stock Code
Most ASX-listed company codes have 3 characters, which represent the company and all securities issued by that company.
Short Quantity
The short position should be provided as a whole number of shares, always greater or equal to zero.
Position Date
Required date format MM/DD/YYYY or YYYY-MM-DD.
Uploading a Position File
Our system will accept any of the combinations below:
short positions for one Position Date and one Seller ID,
short positions for multiple Position Dates and one Seller ID,
short positions for one Position Date and multiple Seller IDs,
short positions for multiple Positions Date and multiple Seller IDs
We support up to 1000 rows per Seller ID. If your position reflects more than this, please contact FundApps Support for more help.
Sample file
This sample file contains dummy data to reflect one of the examples above.