Handling and use of client money in relation to over-the-counter derivatives transactions

This consultation process has now been completed. Submissions available
Date
-
Consultation Type
Discussion Paper

Key Documents

The Hon Bill Shorten MP has released a discussion paper on the handling and use of client money in relation to over-the-counter (OTC) derivatives transactions. The purpose of this discussion paper is to discuss a number of issues relating to the holding of client money in connection with OTC derivatives transactions, and to review whether the client monies provisions of the Corporations Act 2001 provide sufficient protections for investors.

Submissions

183 submissions were received for this consultation, including 8 confidential submissions.

AFSL Collective Response - pdf 276.8 KB
Alice Corporation - pdf 299.13 KB
Amand, Kalenn - pdf 92.28 KB
Amand, Kalenn - doc 23 KB
Ambor, Les - pdf 40.56 KB
Ambor, Les - doc 23 KB
AMP - pdf 624.87 KB
Anderson, Ross - pdf 26.57 KB
Anderson, Ross - doc 33.5 KB
ASX - pdf 186.5 KB
Audax Legal - Submission 1 - pdf 263.7 KB
Audax Legal - Submission 2 - pdf 192.04 KB
Australian Financial Management Association - pdf 167.66 KB
Axicorp - pdf 1.99 MB
Azar, Peter - pdf 26.21 KB
Azar, Peter - doc 33 KB
Bakshi, Raj - pdf 110.33 KB
Bakshi, Raj - doc 30 KB
Bellion, Greg - doc 22.5 KB
Bellion, Greg - pdf 93.92 KB
Bennell, Mark - pdf 101.73 KB
Bennell, Mark - doc 27 KB
Blakemore, Cam - pdf 60.51 KB
Blakemore, Cam - doc 29.5 KB
Boulton, Mark - pdf 112.61 KB
Boulton, Mark - doc 30.5 KB
Brooks, Philip - pdf 26.28 KB
Brooks, Philip - doc 30.5 KB
Brown, Alan - Submission 1 - pdf 97.37 KB
Brown, Alan - Submission 1 - doc 23 KB
Brown, Alan - Submisssion 2 - doc 30 KB
Brown, Alan - Submisssion 2 - pdf 111.7 KB
Brown, Gavin - pdf 26.55 KB
Brown, Gavin - doc 33.5 KB
Castorina, Alan - pdf 111.89 KB
Castorina, Alan - doc 30 KB
City Index - pdf 794.85 KB
Clark, Rick - doc 31 KB
Clark, Rick - pdf 25.96 KB
Clearwater, Barry - pdf 28.53 KB
Clearwater, Barry - doc 33.5 KB
Colantoni, Michael - pdf 111.04 KB
Colantoni, Michael - doc 30 KB
Cottee, Mike - pdf 96.11 KB
Cottee, Mike - doc 23.5 KB
Duncan, David - pdf 121.11 KB
Duncan, David - doc 31 KB
Ede, Bruce & Michelle - doc 33.5 KB
Ede, Bruce & Michelle - pdf 26.4 KB
Edwards, Gavin - doc 27.5 KB
Edwards, Gavin - pdf 104.63 KB
Emmanuel, Dafydd - pdf 25.01 KB
Emmanuel, Dafydd - doc 30.5 KB
Evans, Michael & Jodi - doc 33.5 KB
Evans, Michael & Jodi - pdf 26.94 KB
Forex Financial Services - pdf 93.44 KB
Forex Financial Services - doc 43.5 KB
FP Markets - pdf 797.57 KB
Frioni, Victor - doc 22.5 KB
Frioni, Victor - pdf 92.11 KB
Furner, Peter - doc 23 KB
Furner, Peter - pdf 95.82 KB
Garner, Michael - pdf 116.28 KB
Garner, Michael - doc 31 KB
Giouzepis, Louis - pdf 25.92 KB
Giouzepis, Louis - doc 31 KB
Gonzales, Virgilio & Felicisima - pdf 98.08 KB
Gonzales, Virgilio & Felicisima - doc 23.5 KB
Gorry, Bob - pdf 115.9 KB
Gorry, Bob - doc 31.5 KB
Grillet, Pierre-Francis - doc 33.5 KB
Grillet, Pierre-Francis - pdf 26.59 KB
Hart, Greg - pdf 116.98 KB
Hart, Greg - doc 31 KB
Hiscocks, Steve - pdf 99.14 KB
Hiscocks, Steve - doc 23.5 KB
Hobbs, Michael - pdf 105.26 KB
Hobbs, Michael - doc 28.5 KB
Holley Nethercote - pdf 351.47 KB
Howlett, Suzette - pdf 25.64 KB
Howlett, Suzette - doc 31 KB
International Swaps and Derivatives Association - pdf 157.33 KB
IRESS - pdf 37.49 KB
IRESS - doc 89.5 KB
Jerrat, David - doc 28 KB
Jerrat, David - pdf 104.14 KB
Johnson, Peter - doc 24.5 KB
Johnson, Peter - pdf 42.94 KB
Kapur, Raj - pdf 82.46 KB
Knight, Malcolm - pdf 27.33 KB
Knight, Malcolm - doc 33.5 KB
Lazorne Group - pdf 119.26 KB
Lee, Kelvin - doc 33.5 KB
Lee, Kelvin - pdf 26.47 KB
Lethbridge, Phil - doc 22.5 KB
Lethbridge, Phil - pdf 94.25 KB
Lewis, Gregory - pdf 92.4 KB
Lewis, Gregory - doc 22 KB
Li, Tony - doc 23.5 KB
Li, Tony - pdf 96.8 KB
Liversage, Greg - pdf 26.12 KB
Liversage, Greg - doc 32.5 KB
Loxton, Rick - doc 24 KB
Loxton, Rick - pdf 97.38 KB
Macpherson, Alex - pdf 113 KB
Mahanay, Dave - doc 31 KB
Mahanay, Dave - pdf 25.71 KB
Marketech - pdf 64.18 KB
Marsh, Lois - doc 33.5 KB
Marsh, Lois - pdf 26.35 KB
Martin, Neville - doc 33.5 KB
Martin, Neville - pdf 26.58 KB
Masterton, Craig - doc 23 KB
Masterton, Craig - pdf 93.71 KB
Masterton, Lance - pdf 96.57 KB
Masterton, Lance - doc 24 KB
McGrath, Alan - pdf 101.25 KB
McGrath, Alan - doc 26.5 KB
Menzies, Anthony - doc 33 KB
Menzies, Anthony - pdf 25.68 KB
Merovic, Izi - pdf 90.89 KB
Merovic, Izi - doc 23 KB
MF Global Australia Client Support Group - pdf 26.65 KB
MF Global Australia Client Support Group - doc 33.5 KB
Mitchum, Austin - pdf 93 KB
Mitchum, Austin - doc 22.5 KB
Moseby, Robin - pdf 25.49 KB
Moseby, Robin - doc 31.5 KB
Moss, Len - pdf 26.39 KB
Moss, Len - doc 33.5 KB
Name Withheld - doc 29.5 KB
Name Withheld - pdf 108.63 KB
Newberry, Craig - pdf 26.53 KB
Newberry, Craig - doc 34 KB
Pearse, Murray - pdf 35.21 KB
Pearse, Murray - doc 22 KB
Philp, Mike - pdf 111.16 KB
Philp, Mike - doc 30.5 KB
Playsted, Ashley - pdf 26.54 KB
Playsted, Ashley - doc 33.5 KB
Power, J - doc 30.5 KB
Power, J - pdf 112.18 KB
Russ, Bettina - pdf 97.06 KB
Russ, Bettina - doc 23.5 KB
Scarlett, Phil - pdf 109.26 KB
Scarlett, Phil - doc 28.5 KB
Schwer, Garth - pdf 26.57 KB
Schwer, Garth - doc 33.5 KB
Shambrook, Alan - pdf 103.55 KB
Shambrook, Alan - doc 28 KB
Smit, Johannes - pdf 25.64 KB
Smit, Johannes - doc 31 KB
Spilsbury, James - pdf 26.26 KB
Spilsbury, James - doc 33.5 KB
Stockbrokers Association of Australia - pdf 173.5 KB
Sutton, Brendan - pdf 92.59 KB
Sutton, Brendan - doc 22.5 KB
Tan, Kenny - doc 33.5 KB
Tan, Kenny - pdf 26.4 KB
Thomas, Gary - pdf 25.69 KB
Thomas, Gary - doc 31 KB
Twigg, Colin - pdf 118.12 KB
Twigg, Colin - doc 32 KB
Tylee, Peter - pdf 92.79 KB
Tylee, Peter - doc 22.5 KB
Vink, Gregory - doc 30 KB
Vink, Gregory - pdf 111.03 KB
Walsh, Dean - pdf 93.12 KB
Walsh, Dean - doc 23 KB
Watts, Kris - pdf 94.07 KB
Watts, Kris - doc 23 KB
Wilk, Victor - pdf 94.64 KB
Wilk, Victor - doc 22 KB
Yan, Jinhu & Xu, Min - doc 33 KB
Yan, Jinhu & Xu, Min - pdf 26.48 KB