2009

2009 Submissions

Date	Title & Summary	Topic Area	Sent To
24 December 2009	Reforms to the Supervision of Australia's Financial Markets	Regulation	Treasury
15 December 2009	Inquiry into Regulatory Impediments in the Financial Services Sector	Regulation	Victorian Competition and Efficiency Commission
18 November 2009	Draft Regulations - Eligible Emissions Units as Financial Products	Other	Treasury
9 November 2009	CP 118 Responsible Handling of Rumours	Regulation	ASIC
29 October 2009	Draft AML/CTF Rules Relating to Warrants	Security	AUSTRAC
29 October 2009	Draft AML/CTF Rules Relating to International Give Up Agreements	Security	AUSTRAC
28 October 2009	Draft Short Selling Regulations	Regulation	Treasury
27 October 2009	Takeovers Panel and Legal Privilege	Other	Takeovers Panel
22 October 2009	CP 117 Consent to Quote Credit Ratings	Regulation	ASIC
19 October 2009	Exempt Professional Financial Markets	Regulation	ASIC
7 October 2009	Executive Remuneration - Governance Requirements for ADIs	Other	APRA
25 September 2009	Nostro Account Correspondent Banking	Security	AUSTRAC
22 September 2009	Review of the Application of GST to Cross-Border Transactions	Taxation	Board of Taxation
18 September 2009	Client Money Relating to Dealing with OTC Derivatives	Regulation	ASIC
26 August 2009	Inquiry into Financial Products and Services in Australia	Regulation	Parliamentary Joint Committee on Corporations and Financial Services
19 August 2009	Securities Lending and Substantial Shareholding Disclosure	Regulation	ASIC
14 August 2009	Submission in Response to the FSU's Application to Vary the Banking, Finance and Insurance Award 2010	Other	Australian Industrial Relations Commission
14 August 2009	Harmonisation of the Australian and New Zealand AML Regimes	Security	NZ Foreign Affairs, Defence and Trade Select Committee
10 August 2009	Consultation Paper 108 - Margin Lending: Training of Financial Advisers	Other	ASIC
5 August 2009	Personal Property Securities Bill	Other	Senate Legal and Constitutional Affairs Committee
31 July 2009	Improving Australia's Framework for Disclosure of Equity Derivative Products	Regulation	Treasury
31 July 2009	Inquiry into Bank Funding Guarantees	Other	Senate Standing Committee on Economics
31 July 2009	Review of the GST Financial Supply Provisions	Taxation	Treasury
28 July 2009	APES 350 and Due Diligence Committees	Other	Accounting Professional & Ethical Standards Board
22 July 2009	Inquiry into the National Consumer Credit Bill 2009 and Related Bills - Margin Lending Regulation	Regulation	Senate Economics Legislation Committee
30 June 2009	Proposed Revisions to the VEET Certificates	Other	Department of Primary Industry VIC
26 June 2009	Position Reporting Options Short Selling Disclosure	Regulation	Treasury
15 June 2009	IOSCO Consultation Report on Unregulated Markets and Products	Regulation	International Organization of Securities Commissions
12 June 2009	Legal Framework for the Administration of the GST - Treasury Discussion Paper	Taxation	Treasury
11 June 2009	Carbon Pollution Reduction Scheme Bill 2009 and Related Bills	Other	Senate Standing Committee on Economics
10 June 2009	CP106 - Short Selling and Market Maker Exemption	Regulation	ASIC
29 May 2009	Corporations Legislation Amendment (Financial Services Modernisation) Bill 2009 - Margin Lending Facilities	Regulation	Treasury
22 May 2009	Consultation on Draft Unfair Contract Term Provisions	Regulation	Treasury
8 May 2009	Eligible Emissions Units as Financial Products	Other	Department of Climate Change
5 May 2009	Australia's Future Tax System - Consultation Paper	Taxation	Treasury
17 April 2009	Carbon Pollution Reduction Scheme Exposure Draft Bills	Other	Department of Climate Change
15 April 2009	Senate Inquiry into Climate Change Policies	Other	Senate Select Committee on Climate Policy
8 April 2009	Consultation Paper 105 - Facilitating Equity Capital Raising	Regulation	ASIC
7 April 2009	Short Selling Disclosure Regime - Consultation Paper	Regulation	Treasury
27 March 2009	Carbon Pollution Reduction Scheme Draft Exposure Bill	Other	Senate Economics Committee
11 March 2009	Verification of Wholesale Account Signatories	Security	AUSTRAC
10 March 2009	Market Integrity Issues Paper	Regulation	CAMAC
2 March 2009	Draft AML/CTF Rules - Special Circumstances	Security	AUSTRAC
13 February 2009	Review of Share Purchase Plan Threshold	Regulation	ASIC
6 February 2009	Nostro Account Correspondent Banking	Security	AUSTRAC
23 January 2009	Inquiry into the Tax Laws Amendment (Taxation of Financial Arrangements) Bill 2008	Taxation	Senate Economics Committee
9 January 2009	Customer Identification Procedures for Correspondent Banking Relationships	Security	AUSTRAC

2009

2009 Submissions

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