Association of Securities & Derivatives Advisers of Australia
Association of Securities & Derivatives Advisers of Australia

Submissions

All submissions are in PDF format.

2015

Submission to Title Publish date
 
Treasury Raising Professional Standards of Financial Advisers 23 Dec 2015
 

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
 

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
 

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