| Submission To | Subject | Date |
|---|
| ASX | Proposed Changes to ASX Enforcement and AppealsRule Book –Trade Cancellation Appeals | 04/1/2013 |
| ASIC | Consultation Paper 214 – Updated record-keeping obligations for AFS licensees | 01/11/2013 |
| ASIC | Consultation Paper 212 – Licensing: Training of financial product advisers – update to RG146; Consultation Paper 215 Assessment and approval of training courses for financial product advisers: Update to RG146 | 10/10/2013 |
| AUSTRAC | Discussion Paper – Customer Due Diligence Reform | 30/09/2013 |
| ASX | ASX Cash Equity Market Account Segregation, Portability and Rescheduled Settlements Financial Stability Standards Implementation | 06/08/2013 |
| ASIC | Consultation Paper 208 – ASX Managed Funds Service: Relief from the application form requirement | 07/08/2013 |
| ASIC | Retail/Wholesale Client Definition – ASIC QFS150 | 18/06/2013 |
| Treasury | Extension of Marketing Integrity Rules to Shadow Brokers | 17/06/2013 |
| Treasury | Dividend Washing | 17/06/2013 |
| ASX | ASX Clear Cash Margining | 27/05/2013 |
| ASIC | Future of Financial Advice (FOFA) : Further Stockbroking Exemptions | 16/05/2013 |
| ASIC | Proposed Market Integrity Rules : APX Market | 13/05/2013 |
| ASIC | Consultation Paper CP 202 : Dark Liquidity and High Frequency Trading Proposals | 13/05/2013 |
| ASIC | Consultation Paper CP 200 – Managed Discretionary Accounts : Update to RG179 | 13/05/2013 |
| Parliamentary Joint Committee on Corporations and Financial Services | Inquiry into the Corporations Amendment (Simple Corporate Bonds and Other Measures) Bill 2013 | 16/04/2013 |
| Treasury | Clarifying Market Compensation Regimes | 27/03/2013 |
| Treasury | Draft Law Amendments – Aquisitions and Disposals of Listed Securities by SMSFs and Related | 04/01/2013 |
