Representation

Inputing on discussion papers from Government, ASIC and exchanges is pretty low on most of our members priority list.

We know that our members have a business to run. It is leaner and meaner. Your AFSL doesn’t have a policy team, you have an internal and possibly an external compliance contact, there is little waste, you are efficient and productive. You also understand that some of the changes you have experienced could have been designed better if boutique AFSL’s had a voice.

Whilst it may be hard to measure the benefit of our representation to Government, ASIC, AUSTRAC, FOS and other third parties, it is fundamental to making sure that your interests are being heard and served to protect and enhance your operating environment instead of debate being dominated by large financial institutions.

Current Issues

1.FoFA Legislation
2.Suitable Market Integrity Rules for Indirect Participants
3.Accreditation for Indirect Market Participants
4.Execution Venue Competition & Implications for Boutique AFSL’s
5.National Guarantee Fund (NGF) ownership and coverage
6.Business & compliance costs for boutique firms
7.Financial Literacy

We seek and welcome member input on our submissions.

this is done personally and efficiently, leaving you to do what you do best.

Some of the papers that ASDA has submitted on;

FoFA Exposure Draft
Market Supervision
Consultation Paper 106
ASIC Consultation Paper 118
ASIC Consultation Paper 145

The Australasian Securities Dealers Association (ASDA) is the peak body representing boutique securities & derivatives oriented AFSL’s that add value and volume to exchanges in Australia.

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