Case Studies 2 - Securities Markets Regulation
In this 45 minute course (including linked reading) you will cover 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 Securities Markets.
Learning outcomes include:
- Overview of Australian markets regulation
- False and misleading appearance of trading
- Organisational and technical resource requirements
- Maintaining fair and orderly markets
- Responsible use of Automated Systems
- Client instruction 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.