Case Studies 1 - Security Markets Regulation
This 45 minute course (including linked reading) is designed to enhance the 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 Security Markets.
Learning outcomes include:
- Overview of Australian markets regulation
- AOP system requirements
- Proper use of AOP systems
- Fair and orderly markets
- Order confirmations
- 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.