Submissions

Wednesday 12 October 2011

GRCI has recently provided comment on the second tranche consultation for the Future of Financial Advice legislative changes. Our comments concentrated on some key areas we regard as particularly relevant to members.

A copy of the GRCI submission can be found here.

Disclaimer:

Please note that the views expressed in this submission represent those of th...

 

GRCI has provided a submission to the Corporations and Markets Advisory Committee in response to its discussion paper about Managed Investment Schemes, issued in June 2011.

Please find a copy of GRCI's submission here.

Disclaimer:

Please note that the views expressed in this submission represent those of the collective GRCI membership. Consequently, ind...

 

8 September 2010

GRCI has produced a submission on the ACCC's guidelines for mandatory reporting in relation to consumer goods (or product-related services) associated with death or serious injury.

The purpose of the guide is to provide clarity around the new mandatory reporting regime that is contained within the Trade practices Amendment (Australia C...

 

5 August 2010

GRCI provided a submission based on Hong Kong's Securities and Futures Commission (SFC) comments sought for proposed regulation of Hong Kong's credit rating agencies.

To see this submission in full, click here.

 

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GRCI has produced a submission to the New Zealand Ministry of Economic Development on the proposed reforms to New Zealand's Securities Legislation.

This submission proposes that:

  • Investors/consumers are treated in a equitable manner by licensed financial institutions that are regulated by securities legislation
  • That there should be a single point of con...
 

GRCI has produced a response to the Submission on Consumer Law Reform, proposed by New Zealand's Consumer protection legislation on 27 July 2010.

In this submission, GRCI addresses the following issues:

  • Streamlining of regulation
  • Introducing principle-based legislation
  • A strong compliance profession
  • Enforcement
  • Trans-Tasman linkages

To view this submission ...

 

1 July 2010

This submission was in reply to ASIC's Consultation Paper 136: Markets Disciplinary Panel.

The transfer of some supervisory responsibilities from the ASX to ASIC later in this year, will involve establishing similar rules and disciplinary processes and ASIC has provided opportunities with a number of consultation papers, for participants to...

 

23 June 2010

GRCI has participated in providing a response to the Hong Kong government about its decision to codify disclosure of price sensitive information of listed companies in Hong Kong. The submission provided by GRCI dwelt in particular on the guidance provided in respect to the timing of the disclosure of price sensitive information.

GRCI membe...

 

Thursday 1 July 2010

GRCI's Board yesterday approved a new policy position for GRCI as a direct result of the transfer of some of the supervisory powers from ASX to ASIC.

This new position seeks to ensure the market can continue to benefit and grow in sophistication , risk managemenet and regulatory compliance by returning a percentage of the proceeds from enforcement to ...

 

12 March 2010

GRCI submitted a response to the request for public comment by New Zealand's Ministry of Justice, for proposed regulations and codes of conduct for the 2009 Anti-Money Laundering and Countering Financing of Terrorism Act 2009.

To access the submission, click here.

Thanks must go to GRCI's CEO, Martin Tolar, for submitting this piece on beh...