| 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 |
