Submissions

Submissions

Submissions are prepared by the Association in consultation with members.

If you are a member and would like to be involved with other members of the Association in the development of policy, please contact Peter on (02) 8080 3200 or by email pstepek@stockbrokers.org.au

2017

Submission To Article Title Date
Treasury Submission to Treasury EDR Panel Review Supplementary Consultation Paper 13/06/2017

2016

Submission To Article Title Date
 ASX
National Guarantee fund (NGF) - Proposals for Reform
10/11/2016
 ASX Consultation Paper: ASX's replacement of CHESS for Equity-Post Trade services 28/10/2016 
 Treasury  Treasury submission EDR Review  07/10/2016
 ASIC Consultation Paper 260 - Further measures to facilitate innovation in Financial Services 21/07/2016
 ASIC                                                     Financial Benchmarks Regulatory Reform                                    20/04/2016

 

2015

Submission To Article Title Date
Treasury Draft Legislation and Explanatory Memorandum  18/12/2015
Treasury  Proposed Industry Funding Model 09/10/2015 
Treasury Lifting the Professional, Ethical and Educational Standards in the Financial Services Industry 07/05/2015
Treasury                                           FSI Final Report 2015 31/03/2015
Treasury Council of Financial Regulators - Review of Competition in Clearing Australian Cash Equities February 2015 30/03/2015
Chi-X CP1/2015: The Chi-X Multi Asset Platform and The Chi-X Market Maker Regime 25/03/2015

2014

Submission To Article Title Date
Treasury  FOFA - Draft Adviser Register Regulations  17/12/2014 
ASX Consultation Paper: Reducing Red Tape - Proposed Amendments to Admission and Notification Requirements 11/12/2014 
Senate Economics References Committee  Inquiry into the Scrutiny of Financial Advice  05/12/2014 
Australian National Audit Office  Review of Australian Taxation Office's Administration of Capital Gains Tax   18/11/2014 
ASIC  Consultation Paper 222: Reducing red tape - Proposed amendments to the market integrity rules 09/10/2014 
Senate Economics Legislation Committee  Further Inquiry into the provisions of the Corporations Amendment (Streamlining of Future of Financial Advice) Bill 2014  15/09/2014 
Australian Taxation Office  Foreign Account Tax Compliance Act  FATCA - Comments on Draft ATO Guidance dated 30 May 2014 12/06/2014 
Tax Practitioners Board  Tax Agent Services Act 2009 ('TASA') - What is a tax (financial) advice service in Stockbroking - UPDATE 04/06/2014
ASX ETO Expiry Date - Automatic Exercise and other Proposals  19/05/2014 
Tax Practitioners Board Tax Agent Services Act 2009 ('TASA') -  What is a tax (financial) advice service in Stockbroking? 14/05/2014 
Senate Economics Legislation Committee Corporations Amendment (Streamlining of Future of Financial Advice) Bill 2014  28/04/2014
Treasury Dividend Washing Draft Amending Legislation 14/04/2014
ASX Shortening the Settlement Cycle in Australia: Transitioning to T+2 for Cash Equities 07/04/2014
The Financial System Inquiry Financial System Inquiry 31/03/2014
Treasury Discussion Paper - Improving Tax Compliance - Enhanced Third Party Reporting, Pre-Filling and Data Matching  11/03/2014
Treasury Corporations Amendment (Streamlining of Future of Financial Advice) Bill & Regulations 2014 19/02/2014
ATO  ATO: Draft Taxation Determination TD 2014/D1 - Dividend Washing 13/02/2014 
AUSTRAC Draft Amendments to AML/CTF Rules relating to Customer Due Diligence  

24/01/2014

2013

Submission To Article Title 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 Proposed Market Integrity Rules : APX Market 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 CorporateBonds 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

2012

Submission To Article Title Date
ASIC Consultation Paper CP 189 – FOFA: Conflicted Remuneration 09/11/2012
ASIC Consultation Paper CP 183 - Giving Information, general advice and scaled advice 25/10/2012
ASIC Consultation Paper CP 182 - FOFA: Best Interests duty and relation obligations – Update to RG175 25/10/2012
Treasury Consultation Paper – Competition in Clearing & Settlement 12/08/2012
Treasury Discussion Paper – Richard St John Compensation Arrangements Report 04/07/2012
Treasury Discussion Paper – FOFA: Stockbrokers Carve-outs 29/06/2012
ASX Consultation Paper – Strengthening Australia's Equity Capital Markets 15/05/2012
Treasury Discussion Paper – FOFA: Stockbrokers Carve-outs 06/03/2012
Treasury Treasury Discussion Paper: Handling and Use of Client Money in Relation to Over-The-Counter Derivatives Transactions 07/02/2012
ASIC Consultation Paper CP171 - Strengthening the regulation of research providers 09/02/2012
ASIC Consultation Paper CP168 - Australian Equity Market Structure 10/02/2012

2011

Submission To Article Title Date
Senate Economics Legislation Committee FOFA - Corporations Amendment Bill 21/12/2011
Parlimentary Joint Committee on Corporations and Financial Services FOFA - Corporations Amendment Bill 21/12/2011
Treasury Council of Financial Regulators - Review 09/12/2011
Treasury FOFA - Corporations Amendment Bill 20/10/2011
Treasury FOFA - Corporations Amendment Bill 20/09/2011
Treasury FOFA - Ban on Commissions Impact on Stockbrokers 5/08/2011
Treasury FOFA - Ban on Commissions 30/06/2011
ASIC Consultation Paper 153 Licensing: Assessment and professional development framework for financial advisers April 2011 2/06/2011
Treasury St John Compensation review 2/06/2011
ASIC ASIC Consultation Paper CP 152 – Adopting ASX policy 11/05/2011
ASIC ASIC Consultation Paper CP 147 – Hedge Funds Disclosure 21/04/2011
Treasury ASX Trade Cencellation Policy 28/02/2011
ASIC Submission ASIC CP 145 Market Structure Review 17/02/11
Treasury FOFA - Wholesale & Retail Draft 11/02/2011

2010

Submission To Article Title Date
ASX ASX Trade Cancellation Policy 09/10/2010
ASX Aqua Consultation Paper and Request for Comment 05/10/2010
ASX ACH CCP Risk Management Equities Margining 12/08/2010
ASIC CP 136 Markets Disciplinary Panel 06/07/2010
ASIC CP 107 Securities Lending & Substantial Holding Disclosure 19/07/2010
Treasury Market Supervision Regulations 05/07/2010
ASX ASX Operating Rules 17/06/2010
Treasury Market Supervision Regulations 11/06/2010
Treasury Corps Amendment Bill 11/06/2010
ASIC CP 131 ASX ASIC Handover 26/03/2010
ASIC CP 128 Confidential Information 26/02/10
ASIC CP 126 Listed Bond Submission 22/02/10

2009

Submission To Article Title Date
ASX ACH CCP Risk Management Controls 23/12/09
Treasury Reforms to the Supervision of Australia's Financial Markets 23/12/09
ASIC FOS Terms of Reference 10/11/09
ASIC CP 118 Handling Rumours 09/11/09
Treasury Short Selling Regulations 23/10/09
ASX Takeover Indemnity Deed 16/09/09
ASIC CP114 Client Money OTC Derivatives 17/09/09
Treasury Disclosure of Equity Derivatives 10/08/09
ASIC CP108 Margin Lending Training Requirements 10/08/09
ASIC CP109 Margin Lending Financial Requirements 10/08/09
ASIC CP107 Securities Lending and Substantial Shareholding Disclosure 19/08/09
Senate Economics Legislation Committee Margin Lending 17/07/09
Treasury Unsolicited Offers 23/07/09
Storm Inquiry 31/07/09
ASIC Consultation Paper CP106 11/06/09
Treasury Unfair Contract Consultation 22/05/09
Treasury Corporations Legislation Amendment Bill 2009 Margin Lending 29/05/09
Treasury Short Selling Disclosure 07/04/09
ASX Partly Paid 17/04/09
AFT Henry Tax Review 29/04/09
CAMAC CAMAC Issues Paper- Aspects of Market Integrity 11/03/09
ASIC RBA on ASX Capital Requirements 02/02/09
ASIC Consultation Paper 103 - Share Purchase Plans 12/02/09

For older submissions please check out our Submission Archive.