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Formed in 1999, the Securities & Derivatives Industry Association (SDIA) is the peak industry body representing institutional and retail stockbroking firms and investment banks in Australasia. It has 66 member organisations, that, between them, account for 98 percent of the market by value traded on the Australian Securities Exchange. (Total value being approximately $6 billion daily!).
Retail and institutional stock brokers
The principal members of the SDIA are institutional and retail stockbrokers and investment banks of all sizes and across all specializations. The Association also represents individuals. Details of current Board members can be found on the SDIA website.
Role of the SDIA
In brief, the role of the SDIA is to:
- Represent the securities & derivatives industry especially before Government and in relation to suppliers and clearing houses
- Promote the securities & derivatives profession
- Provide professional education and training and promote standards
- Facilitate discussion and resolution of industry-wide issues
- Inform members about issues that could affect their businesses
- Collect and publish data about the industry for statistical review
Finance industry code of ethics
Like most industry associations, the SDIA has a Code of Ethics and Code of Conduct. Members are expected to adhere to these standards as a minimum benchmark. The Association rules are enforceable and guiding principals are also provided to promote ethical conduct for members of SDIA. At the centre of the Code is the obligation that members shall not engage in any act or omission of a misleading, deceptive, dishonest or fraudulent nature.
To give you an idea of the types of financial organisations that become members of the SDIA below is a list of members as at October 2007.
SDIA principal members
- Abacus Funds Management
- ABN AMRO Equities Australia Limited
- ABN AMRO Morgans Limited
- Aegis Equities Research Pty Ltd
- Aequs Securities Pty Ltd
- Andrew West & Co. Limited
- ASANDAS (Australian Stockbroking and Advisory Service Ltd)
- Austock Limited
- Baker Young Stockbrokers Limited
- Bell Potter Securities Limited
- Bridges Financial Services Pty Ltd
- BBY Ltd
- Burrell Stockbroking Pty Ltd
- CCZ Statton Equities Pty Limited
- Citigroup Global Markets Australia Pty Limited
- Citi Smith Barney
- Commonwealth Securities Limited
- Credit Suisse
- Deutsche Securities Australia Limited
- DJ Carmichael Pty Limited
- E.L. & C. Baillieu Stockbroking Ltd
- ETRADE Australia Securities Limited
- Euroz Securities Ltd
- Freeman Fox Securities Limited
- Fortis Clearing Sydney Pty Limited
- Foster Stockbroking Pty Limited
- FW Holst & Co Pty Ltd
- Goldman Sachs JBWere Pty Ltd
- Grange Securities Limited
- Hartleys
- Instinet Pacific Limited
- Intersuisse Limited
- ITG Australia Limited
- IWL
- Joseph Palmer & Sons
- JPMorgan Chase Bank, N.A.
- Kirke Securities Limited
- Lands Kirwan Tong Stockbrokers
- LINWAR Securities Pty Limited
- Lodge Partners Pty Ltd
- Lonsec Limited
- Macquarie Equities Limited
- Martin Place Securities Pty Limited
- Merrill Lynch Australia Pty Ltd
- Merrill Lynch Private (Australia) Limited
- Montagu Stockbrokers Pty Ltd
- Morgan Stanley Australia Limited
- National Online Trading Limited
- Opes Prime Stockbroking Ltd
- Ord Minnett Ltd
- Paterson Securities Limited
- Professionals' Choice Wealth Management Pty Ltd
- RBC Securities Australia Pty Ltd
- Reynolds & Co Pty Limited
- Shadforths Limited
- SHAW Stockbroking Limited
- Southern Cross Equities Ltd
- State One Stockbroking Ltd
- Taylor Collison Limited
- Tolhurst Noall Ltd
- Tricom Equities Limited
- UBS Private Clients Australia Limited
- UBS Securities Australia Limited
- Westpac Securities Limited
- Wilson HTM Ltd
SDIA founding affiliate member
- Australian Stock Exchange
SDIA affiliate members
- ANZ Margin Lending
- Capital Market Solutions (Asia Pacific) Pty Ltd
- DeakinPrime
- IRESS Market Technology Limited
