2021 – Stockbrokers and Investment Advisers Association

Submission To	Subject	Date
Senate Standing Committees on Economics	Compensation Scheme of Last Resort Bills	22/12/2021
ASX	CHESS replacement: Tranche 3 and combined rule amendments consultation paper	10/12/2021
FASEA	Code of Ethics - Consultation on Standard 3	29/11/2021
ASIC	Targeted consultation on proposed amendments to the Market Integrity Rules (Capital) 2021	23/11/2021
ASIC	Consultation Paper 347: Prohibition on payment for order flow	03/11/2021
Treasury	Better Advice Bill – exposure draft regulations	15/10/2021
ASIC	Legislative instrument - additional interim measures for DDO	17/09/2021
Treasury	Treasury Laws Amendment (Measures for a later sitting) Bill 2021: Use of technology for meetings and related amendments	09/09/2021
Standing Committee on Economics	Inquiry into the implications of common ownership and capital concentration in Australia	01/09/2021
ASIC	Consultation Paper 346: The hawking prohibition	20/08/2021
Treasury	Single Disciplinary Body: Policy Paper on regulations	20/08/2021
Treasury	Compensation Scheme of Last Resort: Proposal Paper	13/08/2021
ASIC	Cost recovery Implementation Statement 2020/21	09/08/2021
ASIC	Consultation Paper 342: Proposed amendments to the ASIC Market Integrity Rules	06/08/2021
FASEA	Amendments to education standard	28/07/2021
ASIC	Crypto- assets as underlying assets for ETPs	22/07/2021
FASEA	Three month requirement relief for exam	21/07/2021
Treasury	Using technology to hold meetings and send documents	07/07/2021
The Senate Economics Legislation Committee	Inquiry into the Financial Sector Reform (Hayne Royal Commission response – better advice) Bill 2021	06/07/2021
Financial Services Council	Green paper on financial advice	30/06/2021
ASIC	Consultation Paper 340: Breach reporting and related obligations	01/06/2021
Treasury	Greater transparency of proxy advice	28/05/2021
Treasury	Single Disciplinary Body for financial advisers	14/05/2021
Treasury	Breach reporting regulations	09/04/2021
Treasury	Review of AFCA	26/03/2021
ASX	CHESS Replacement: proposed changes to netting and settlement workflow	17/03/2021
Tax Practitioners Board	Continuing professional education policy requirements for registered tax (financial) advisers	10/03/2021
ASIC	Consultation Paper 335: Consumer Remediation	26/02/2021
ASIC	Internal Dispute Resolution	09/02/2021
ASIC	Consultation Paper 333: Reference Checking and Information Sharing	28/01/2021
ASIC	Consultation Paper 332: Promoting access to affordable advice for consumers	18/01/2021