All Submissions are in PDF format and may only be accessed by SDIA members.

• Submission on ASX Capital Requirements
• Submission to ASIC on Share Purchase Plans

• Submission on Green Paper Financial Services Margin Lending

• Submission on Consultation Draft- special circumstances for customer identification

• Submissions ASIC FOS Constitution 
• Treasury - Unsolicited Off-Market Share Offers

• ASX Short Selling
• ASX Public Consultation Paper  - "Non-Voting Ordinary Shares"

February 2008

• ASX Public Consultation Paper - Omnibus Listing Rule Amendments - 18 Febuary 2008
• ASIC Consultation Paper CP 95 Competition for Market Services - 1 February 2008

January 2008

• Austrac Submissions by SDIA on Consultation Drafts - Special Circumstances for customer identification and Item 54 Marking arrangments - 31 January 2008

September 2007

• ASIC Submission Compensation and Insurance Requirements for AFS Licensees - 14 September 2007
• FICS Monetary Limits Review - Discussion Paper - 13 August 2007

August 2007

• ASIC Competition for Market Services - ASIC Consultation Paper 86 - 17 August 2007

July 2007

• ASX Trade Error Resolution - Consultation Paper - May 2007
• FICS Monetary Limits Review - May 2007

June 2007

• Insider Trading Position and Consutlation Paper - March 2007
• Review of Sanctions for Breaches of Corporate Law

April 2007

• Corporate and Financial Services Regulation Review - Draft Regulations March 2007 - Treatment of Superannuation Trustees
• Corporate and Financial Services Regulation Review - Draft Regulations March 2007
• Senate Inquiry into the Corporations (NZ Closer Economic Relations) and other Legislation Amendment Bill 2007

March 2007

• ASX Supervisory Processes & Powers - Consultation Paper December 2006
• Draft revised AML/CTF Rules in respect of Chapters 1,2,3,4,5,8,8A and 11 dated 14 February 2007 - customer identification, AML/CTF programs, gambling services

February 2007

• Proposed changes to PS 164 - Meeting the general obligations and organisational competence

January 2007

• Corporate and Financial Services Regulation Review
• Submission on Firms Only - Consultation Paper

November 2006

• Compensation Requirements for Retail Clients - Proposed Regulations November 2006

June 2006

• Conflicts Management - ASIC Discussion Paper April 06

May 2006

• Corporate and Financial Services Regulation Review

April 2006

• Market Manipulation
• Inquiry into the Exposure Draft of the Anti-Money Laundering and Counter-Terrorism Financing Bill 2005
• NGF Claims Capping

March 2006

• Inquiry into the Exposure Draft of the Anti-Money Laundering and Counter-Terrorism Financing Bill 2005

February 2006

• Direct Market Access - Request for Comment (Certifiction & Crossings Rules)

November 2005

• Financial Sector Advisory Council: enquiry into financial sector regulation

October 2005

• Refinements to Financial Services Regulation - Draft Corporations Amendment Regulations

September 2005

• Repetition of the general advice warning (s949A) - ASIC Consultation Paper

June 2005

• Compliance Function at Market Intermediaries Public Comment on the Consultation Report by the Technical Committee of the International Organization Of Securities Commissions, April 2005
• Product Disclosure Statement - Exchange Traded Options and Low Exercise Price Options
• Projects - Two Draft FAQ's:General Advice Warning; General/Personal Advice
• Refinements to Financial Services Regulation, Proposals Paper, May 2005

February 2005

• ASX Market Rule Amendments - Trading Record and Trust Reconciliations

January 2005

• ASX Market Rule 7.9 - Reporting To Clients (Confirmations)
• Inquiry into regulation of property investment advice
• Draft Corporations Regulations on Fee Disclosure and other matters (23 Dec 04)
• SDIA Submission to FICS 10 January 2005 - Rules Review
• raft Corporations Regulations on Fee Disclosure and other matters (23 Dec 04)
• DIA response to AUSTRAC Regulatory Scoping Survey 5 January

December 2004

• Anti-Money Laundering Reform

November 2004

• FICS Determination 0313030 July 2004 - Sales by Company Directors
• Corporations Regulations: Proposed regulations on prescribed financial markets, Takeovers Panel & Tracing notices
• ASIC Policy on Managed Discretionary Accounts (MDAs) & Family Accounts (PS179.17)

October 2004

• Trans-Tasman Mutual Recognition of Offers of Securities and Managed Investment Scheme Interests - Discussion Paper May 2004

• Draft ASX Market Rule Guidance Note - Reporting To Clients (Confirmations)

• Property Investment Advice Discussion Paper, Ministerial Council on Consumer Affairs Working Party, August 2004

September 2004

• Research Analysts - Managing Conflicts of Interest ASIC Guide - Draft 27 August 2004
• Proposed Secondary Services FSG Relief and FAQ - August 2004

August 2004

• Dollar Disclosure: ASIC policy proposal paper

July 2004

• FSR Licensing: Facilitation of settlement of international securities and exchange traded derivative transactions by stockbrokers and futures brokers - whether foreign exchange dealing

June 2004

• Financial Sector Advisory Council: enquiry into the Financial Services Reform Act

• Anti-Money Laundering Reform - Issues Paper 1 Financial Services Sector

• Corporations Act Division 5A - Unsolicited offers to purchase financial products off-market
• Licensing: Managing Conflicts of Interest (with specific guidance for providers of research reports) ASIC Policy Proposal - October 2003

• Draft FAQ3: Secondary Services January 2004

• CLERP (Audit Reform & Disclosure) Bill (CLERP9) October 2003

• FSR LICENSING: Facilitation of settlement of international securities transactions by stockbrokers - whether foreign exchange dealing

• Licensing : Nominee Companies and FSR Licensing - ASX Business Rule 3.12 & Corporations Regulation 7.6.01(1)(v) (10 June 2003 Draft)
• ASX Clearing/Trading Participation Consultation Paper

• Draft Business Rule Guidance Note - Confirmations (formerly Contract Notes)
• FSR Statements of Advice Requirements
• FSR Licensing: Facilitation of settlement of international securities transactions by stockbrokers - whether foreign exchange dealing
• Managed Discretionary Account Services - ASIC Policy Proposal - April 2003

• Takeovers Panel Guidance Note on Broker Handling Fees - Draft for Public Comment 28 March 2003

• Product Disclosure Statements for Exchange Traded options

• Principles of Good Corporate Governance and Best Practice Recommendations - 'The Source' 3 March 2003 Draft

• Post-FSR Market Manipulation provisions of the Corporations Act
• Draft Corporations Amendment Regulations released 13 December 2002

• Draft ASX Business Rule Guidance Note: Independence of Research, Disclosure of Conflict of Interest & Dealing Before Research Recommendations (18 September 2002)
• Corporate Disclosure - Strengthening the financial reporting framework (CLERP9)
• Compensation for Loss in the Financial Services Sector - Issues & Options paper September 2002

• Review of the Financial Industry Complaints Service - Issue Paper dated August 2002
• PROPOSED NEW RULE 3.15 - Release of Confidential Information by ASX
• Product Disclosure Statements (PDS) on ASX Derivatives

• Cancellation of Trades Made in Error on Seats and the Derivatives Trading Platform
• Business Rule Guidance Noteson Responsible Executives July 2002

• Licensing of CHESS Participants - Provision of custodial or depository services
• ASX Draft Business RuleGuidance Note: "SEATS Automated Order Processing: Operational Requirements including Filters"
• ASX Trial on New Reporting Regime ("NRR") for Large Single Stock Trades

• CHESS Enhancements Discussion Paper - April 2002

• Advisor's Reports

• NGF Funding & Interest on Trust Accounts - Parts 7.6 and 7.8 of Corporations Act
• Interest on Trust Accounts - Parts 7.6 & 7.8 of Corporations Act

• Corporations Amendment Regulations - Cooling-off period for Listed managed investment products - Section1019A&B; Regulation 7.9.64
• Secondary Sales of Securities that Require Disclosure under s707(3)&(4) - ASIC Issues Paper dated 21 December 2001

• Draft Corporation Amendment Regulations (Second Stage - released 18 December 2001)
• Draft Corporations Amendment Regulations (No. ) Product Disclosure and other matters - Released 18 January 2002

• ASIC Policy Statement PS166 Consultation Draft dated 16 November 2001 (Licensing: Financial Requirements)

• Retail Client Compensation in Financial Markets Consultation Paper - September 2001

• Draft Regulations Under Financial Services Reform Act 2001 (Product Disclosure and other matters) - 3rd Tranche dated 27 August 2001 - Support submission
• Draft Regulations Under Financial Services Reform Act 2001 (Product Disclosure and other matters) - 3rd Tranche dated 27 August 2001

• ASX Business Rules - July 2001 Exposure Draft
• Draft Regulations Under Financial Services Reform Act 2001 (Licensing, Disclosure and other matters) - 2nd Tranche dated 16 August 2001

• Proposed ASX Trial on New Reporting Regime ("NRR") for Large Single Stock Trades

• Inquiry into the Financial Services Reform Bill 2001

• Submission on various Trading Rules

• Application for Authorisations A90756; A90757; A90758

• Stockbrokers' Managed Discretionary Accounts

• Submission to ASIC regarding Australian Derivatives Exchange Limited ("ADX") - Futures Exchange Application Pursuant to Section 1126 of the Corporations Law and Options Clearing House Pty Limited ("OCH") - Futures Clearing House Application Pursuant to Section 1131 ofthe Corporations Law

• ASIC Interim Policy Statement 146 - Stockbroking Accreditation Sub-Committee
• Guidelines for Internet Discussion Sites (IDS) (ASIC Policy Proposal)

• Financial Services Reform Bill & Commentary - an SDIA/AFMA Joint Submission
• The Implications for Installment Warrants of the Proposed Prepayment Rules (Australian Stock Exchange)

• Industry issues arising from GST Regulations 1999/245

• Clerp 6 Supplementary Submission - Restrictions on the use of titles

• "Heard it on the Grapevine..." An SDIA Draft ASIC Guidance and Discussion Paper