Submissions
All submissions are in PDF format.
2023
| Submission to | Title | Publish date |
|---|---|---|
| AFCA | Response to AFCA Consultation Paper titled 'AFCA Rules and Operational Guidelines – Proposed amendments' | 19 May 2023 |
2022
| Submission to | Title | Publish date |
|---|---|---|
| Treasury | Response to Treasury Consultation Paper - Quality of Advice Review | 22 Sep 2022 |
| Treasury | Response to Treasury Consultation Paper - Financial adviser education standards | 14 Sep 2022 |
2021
| Submission to | Title | Publish date |
|---|---|---|
| ASIC | Response to Consultation Paper 332 – Promoting access to affordable advice for consumers | 5 Jan 2021 |
| ASIC | Response to Consultation Paper 335 – Consumer remediation: Update to RG256 | 16 Feb 2021 |
| Treasury | Review of the Australian Financial Complaints Authority (AFCA) | 26 Mar 2021 |
| ASIC | Response to Consultation Paper 340 – Breach reporting and related obligations | 03 Jun 2021 |
2020
| Submission to | Title | Publish date |
|---|---|---|
| ASIC | Response to Consultation Paper 325 – Product design and distribution obligations | 22 Apr 2020 |
| ASIC | Response to Consultation Paper 333 – Implementing the Royal Commission recommendations: Reference checking and information | 31 Dec 2020 |
2019
| Submission to | Title | Publish date |
|---|---|---|
| FASEA | Response to FASEA Consultation – Degrees Qualifications and Courses Standard Amendment | 29 Mar 2019 |
| Treasury | Response to Treasury Consultation Paper titled 'Enforceability of financial services industry codes' | 11 Apr 2019 |
| Treasury | Ending Grandfathered Conflicted Remuneration for Financial Advisers: Draft regulations | 24 Apr 2019 |
| Minister Hume | Letter to the Hon. Jane Hume Senator | 5 Jul 2019 |
| ASIC | Response to Consultation Paper 311 | 22 Jul 2019 |
2018
| Submission to | Title | Publish date |
|---|---|---|
| ASIC | Response to ASIC Consultation Paper 298 - Oversight of the Australian Financial Complaints Authority: Update to RG 139 | 6 Apr 2018 |
| FASEA | Proposed Guidance on Education pathways for Existing Advisers | 29 May 2018 |
| FASEA | Response to FASEA Consultation - Code of Ethics for Financial Advisers | 30 May 2018 |
| ASIC | Response to ASIC Consultation Paper 300 | 28 Jun 2018 |
| AFCA | Response to AFCA Consultation of Proposed AFCA Rules | 29 Jun 2018 |
| FASEA | Response to FASEA Consultation - Foreign Qualifications | 31 Aug 2018 |
| FASEA | Response to FASEA Consultation - Continuing Professional Development | 31 Aug 2018 |
| FASEA | Response to FASEA Consultation - Provisional Relevant Provider Team | 31 Aug 2018 |
| FASEA | Response to FASEA Consultation - Professional Year | 31 Aug 2018 |
| ASIC | Response to ASIC Consultation Paper 305 – Organisational competence requirements for advice licensees: Update to RG 105 | 6 Dec 2018 |
2017
| Submission to | Title | Publish date |
|---|---|---|
| Treasury | Response to the Expert Panel’s Interim Report into the review of the financial system EDR Framework | 19 Jan 2017 |
| ASIC | Self Reporting of Contraventions by Financial Services and Credit Licensees | 12 May 2017 |
| ASIC | Response to ASIC Consultation Paper 281 – Financial Services Panel | 22 May 2017 |
| Treasury | The Financial system EDR framework | 14 Jun 2017 |
| ASIC | Sell-Side Research | 31 Aug 2017 |
| Senate Committee | Treasury Laws Amendment Bill 2017 | 25 Sep 2017 |
| ASIC | Response to Position and Consultation Paper 6 - ASIC’s power to ban senior officials in the financial sector | 4 Oct 2017 |
2016
| Submission to | Title | Publish date |
|---|---|---|
| ASIC | Response to ASIC Consultation Paper 247 – Client review and remediation programs and update to record-keeping requirements | 24 Feb 2016 |
| Treasury | Client Money Reform Draft Legislation | 24 Mar 2016 |
| ASIC | Response to ASIC Paper 254 – Regulating digital financial product advice | 13 May 2016 |
| ASIC | Response to ASIC Paper 257 - Improving disclosure of historical financial information in prospectuses | 7 Jul 2016 |
| Minister O’Dwyer | Letter to the Hon. Kelly O’Dwyer MP | 26 Jul 2016 |
| Treasury | Review of the Financial system EDR Framework | 4 Oct 2016 |
| ASIC | Proposed Industry Funding Model for ASIC | 15 Dec 2016 |
2015
| Submission to | Title | Publish date |
|---|---|---|
| Treasury | Raising Professional Standards of Financial Advisers | 23 Dec 2015 |
