Introduction to Australian Securities Markets Regulation
This 1-2 hour course (including linked reading) is designed to enhance participants’ understanding of key Market Integrity Rules that govern the Securities Market and how to comply with them. Learning outcomes include:
- Overview of Australian markets regulation
- Securities Rules and Regulations
- Supervision and Risk management
- Trading Principles
- Automated Order Processing
- Short Selling and Crossing Activity
- Late Trading and Takeovers
- Competition Market Integrity Rules
- Governance, Escalation and Reporting
- Consequences of misconduct
- Successful completion of the final knowledge quiz on learning outcomes leads to a Certificate of Completion.
You may be able to claim 1.0 to 2.0 CPD hours for the completion of this course in the CPD Competency category of Regulatory Compliance and Consumer Protection. For advice, consult your CDP Plan, Compliance Manager or FASEA’s CPD guidelines.