2013

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