Committees, Advisory Panels & Working Groups

Stockbrokers Association committees, advisory panels and working groups provide the direct link into the industry which ensures the association is focused on issues important to its members.

Board Committees

There are 6 main Board Committees under the Constitution and Rules of the Stockbrokers Association which meet regularly to consider issues of concern in their areas.

Management Committee

Audit Committee

Institutional Broking Committee

Retail Broking Committee

Profession Committee

Nominations Committee

Sub-Committees

Retail Compliance Sub-Committee

Institutional Compliance Sub-Committee

Derivatives Sub-Committee

Advisory Panels are specialist groups comprising nominees of Principal Members in particular areas. Advisory Panels provide specialist technical advice to the Stockbrokers Association and give a broad range of industry practitioners an opportunity to contribute to industry issues. As with all the Committees, Panel members also benefit from networking, dissemination and sharing of information with their peers relevant to their areas.

Margin Lending Advisory Panel

CFD Advisory Panel

Working Groups

Working Groups are established from time to time as significant issues arise to consider them in detail and recommend appropriate action, make submissions to regulators, etc. Working Groups have been assembled to consider the following issues:

DTR Working Group 2011

AML/CTF Working Group

Market Supervision Working Group 2011