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| Submission To | Subject | Date |
|---|---|---|
| ASIC | Consultation Paper CP 189 – FOFA: Conflicted Remuneration | 09/11/2012 |
| ASIC | Consultation Paper CP 183 – Giving Information, general advice and scaled advice | 25/10/2012 |
| ASIC | Consultation Paper CP 182 – FOFA: Best Interests duty and relation obligations – Update to RG175 | 25/10/2012 |
| Treasury | Consultation Paper – Competition in Clearing & Settlement | 12/08/2012 |
| Treasury | Discussion Paper – Richard St John Compensation Arrangements Report | 04/07/2012 |
| Treasury | Discussion Paper – FOFA: Stockbrokers Carve-outs | 29/06/2012 |
| ASX | Consultation Paper – Strengthening Australia’s Equity Capital Markets | 15/05/2012 |
| Treasury | Discussion Paper – FOFA: Stockbrokers Carve-outs | 06/03/2012 |
| Treasury | Treasury Discussion Paper: Handling and Use of Client Money in Relation to Over-The-Counter Derivatives Transactions | 07/02/2012 |
| ASIC | Consultation Paper CP171 – Strengthening the regulation of research providers | 09/02/2012 |
| ASIC | Consultation Paper CP168 – Australian Equity Market Structure | 10/02/2012 |