Case Studies 1 - Futures Markets Regulation (Market Participants)
This 45 minute course (including linked reading) is designed to enhance participants’ understanding of the regulation of Australian capital markets with particular focus on infringement notices and steps that might be taken in order to prevent and mitigate breaches of the rules that govern the Futures Markets.
Learning outcomes include:
- Overview of Australian markets regulation
- Error Trade rules
- Setting price change limits
- Reconciliation of client funds
- Reporting to ASIC
- Client segregated account obligations
- Consequences of misconduct
- Preventing breaches of the MIRs
- Successful completion of the final knowledge quiz on learning outcomes leads to a Certificate of Completion.
You may be able to claim 1.0 CPD hour 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.