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

This consultation process has now been completed. Submissions available
Date
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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

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

Alice Corporation - pdf 299.13 KB
Amand, Kalenn - doc 23 KB
Amand, Kalenn - pdf 92.28 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
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 - pdf 93.92 KB
Bellion, Greg - doc 22.5 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, Gavin - pdf 26.55 KB
Brown, Gavin - doc 33.5 KB
Castorina, Alan - doc 30 KB
Castorina, Alan - pdf 111.89 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 - doc 31 KB
Duncan, David - pdf 121.11 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
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
Gorry, Bob - pdf 115.9 KB
Gorry, Bob - doc 31.5 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
IRESS - doc 89.5 KB
IRESS - pdf 37.49 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 - pdf 96.8 KB
Li, Tony - doc 23.5 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 - doc 24 KB
Masterton, Lance - pdf 96.57 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
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 - pdf 108.63 KB
Name Withheld - doc 29.5 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 - doc 28.5 KB
Scarlett, Phil - pdf 109.26 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
Sutton, Brendan - pdf 92.59 KB
Sutton, Brendan - doc 22.5 KB
Tan, Kenny - pdf 26.4 KB
Tan, Kenny - doc 33.5 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 - pdf 26.48 KB