Submission ToSubjectDate
ASXProposed Changes to ASX Enforcement and AppealsRule Book –Trade Cancellation Appeals04/1/2013
ASICConsultation Paper 214 – Updated record-keeping obligations for AFS licensees01/11/2013
ASICConsultation 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 RG14610/10/2013
AUSTRACDiscussion Paper – Customer Due Diligence Reform30/09/2013
ASXASX Cash Equity Market Account Segregation, Portability and Rescheduled Settlements Financial Stability Standards Implementation06/08/2013
ASICConsultation Paper 208 – ASX Managed Funds Service: Relief from the application form requirement07/08/2013
ASIC Retail/Wholesale Client Definition – ASIC QFS15018/06/2013
TreasuryExtension of Marketing Integrity Rules to Shadow Brokers17/06/2013
TreasuryDividend Washing17/06/2013
ASXASX Clear Cash Margining27/05/2013
ASICFuture of Financial Advice (FOFA) : Further Stockbroking Exemptions16/05/2013
ASICProposed Market Integrity Rules : APX Market13/05/2013
ASICConsultation Paper CP 202 : Dark Liquidity and High Frequency Trading Proposals13/05/2013
ASICConsultation Paper CP 200 – Managed Discretionary Accounts : Update to RG17913/05/2013
Parliamentary Joint Committee on Corporations and Financial ServicesInquiry into the Corporations Amendment (Simple Corporate Bonds and Other Measures) Bill 201316/04/2013
TreasuryClarifying Market Compensation Regimes27/03/2013
TreasuryDraft Law Amendments – Aquisitions and Disposals of Listed Securities by SMSFs and Related04/01/2013