Introduction to Australian Futures Markets Regulation
This 1 hour course (including linked reading) is designed to enhance the participants’ understanding of the regulation of Australian Futures markets, with a particular focus on the ASIC Market Integrity Rules that govern the Futures markets and how to comply with them.
Learning outcomes include:
- Overview of Australian markets regulation
- Rules and Regulations
- Regulatory supervision and risk management is required
- Trading Principles
- Prohibited trading activity
- Manipulative trading rules
- Appropriate standards for 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 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.