Monday, February 06, 2012
Submissions
All Submissions are in PDF format and may only be accessed by Stockbrokers Association members. If you are an  Individual (Practitioner or Affiliate) Member or the main representative for an Organisational (Principal or Affiliate) Member Firm  please click on the submission you wish to view. You will then be asked to enter your email address and authenticate yourself before you proceed.Please ensure that you update your details before you proceed.If you are unable to download the submission or have not been authorised to do so, please contact us either on (02) 8080 3200 or via our web form.

Submission to: Treasury Date: 05/03/09
Australian Financial Centre Forum
 2011  December  
Submission to: Senate Economics Legislation Committee Date: 21/12/2011
FOFA - Corporations Amendment Bill
 2011  December  
Submission to: Parlimentary Joint Committee on Corporations and Financial Services Date: 21/12/2011
FOFA - Corporations Amendment Bill
 2011  October  
Submission to: Treasury Date: 20/10/2011
FOFA - Corporations Amendment Bill
2011  September  
Submission to: Treasury Date: 20/09/2011
FOFA - Corporations Amendment Bill
 August  
Submission to: Treasury Date: 5/08/2011
FOFA - Ban on Commissions Impact on Stockbrokers
June
Submission to: Treasury Date: 30/06/2011
FOFA - Ban on Commissions

Submission to:ASIC Date: 2/06/2011
Consultation Paper 153 Licensing: Assessment and professional development framework for financial advisers April 2011

Submission to: Treasury Date: 2/06/2011
St John Compensation review

May
Submission to: ASIC Date: 11/05/2011
ASIC Consultation Paper CP 152 – Adopting ASX policy

April
Submission to: ASIC Date: 21/04/2011
ASIC Consultation Paper CP 147 – Hedge Funds Disclosure

February
Submission to: Treasury Date: 28/02/2011
ASX Trade Cencellation Policy

Submission to: ASIC Date: 17/02/11
Submission ASIC CP 145 Market Structure Review


Submission to: Treasury Date: 11/02/2011
FOFA - Wholesale & Retail Draft

2010 November
Submission to: ASX Date: 09/10/2010
ASX Trade Cancellation Policy
October
Submission to: ASX Date: 05/10/2010
Aqua Consultation Paper and Request for Comment
August
Submission to: ASX Date: 12/08/2010
ACH CCP Risk Management Equities Margining

July
Submission to: ASIC Date: 06/07/2010
CP 136 Markets Disciplinary Panel

Submission to: ASIC Date: 19/07/2010
CP 107 Securities Lending & Substantial Holding Disclosure

Submission to: Treasury Date: 05/07/2010
Market Supervision Regulations

June
Submission to: ASX Date: 17/06/2010
ASX Operating Rules

Submission to: Treasury Date: 11/06/2010
Market Supervision Regulations

Submission to: Treasury Date: 11/06/2010
Corps Amendment Bill

March
Submission to: ASIC Date: 26/03/2010
CP 131 ASX ASIC Handover

February
Submission to: ASIC Date: 26/02/10
CP 128 Confidential Information

Submission to: ASIC Date: 22/02/10
CP 126 Listed Bond Submission

2009 December
Submission to: ASX Date: 23/12/09
ACH CCP Risk Management Controls

Submission to: Treasury Date: 23/12/09
Reforms to the Supervision of Australia's Financial Markets

November
Submission to: ASIC Date: 10/11/09
FOS Terms of Reference

Submission to: ASIC Date: 09/11/09
CP 118 Handling Rumours

October
Submission to: Treasury Date: 23/10/09
Short Selling Regulations

September
Submission to: ASX Date: 16/09/09
Takeover Indemnity Deed

Submission to: ASIC Date: 17/09/09
CP114 Client Money OTC Derivatives

August
Submission to: Treasury Date: 10/08/09
Disclosure of Equity Derivatives

Submission to: ASIC Date: 10/08/09
CP108 Margin Lending Training Requirements

Submission to: ASIC Date: 10/08/09
CP109 Margin Lending Financial Requirements

Submission to: ASIC Date: 19/08/09
CP107 Securities Lending and Substantial Shareholding Disclosure

July
Submission to: Senate Economics Legislation Committee Date: 17/07/09
Margin Lending

Submission to: Treasury Date: 23/07/09
Unsolicited Offers

Submission to: Date: 31/07/09
Storm Inquiry

June
Submission to: ASIC Date: 11/06/09
Consultation Paper CP106

May
Submission to: Treasury Date: 22/05/09
Unfair Contract Consultation

Submission to: Treasury Date: 29/05/09
Corporations Legislation Amendment Bill 2009 Margin Lending

April
Submission to: Treasury Date: 07/04/09
Short Selling Disclosure

Submission to: ASX Date: 17/04/09
Partly Paid

Submission to: AFT Date: 29/04/09
Henry Tax Review

March
Submission to: CAMAC Date: 11/03/09
CAMAC Issues Paper- Aspects of Market Integrity
February
Submission to: ASIC Date: 02/02/09
RBA on ASX Capital Requirements

Submission to: ASIC Date: 12/02/09
Consultation Paper 103 - Share Purchase Plans

Submission Archive:

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