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Introduction to Australian Securities Markets Regulation (IASMR-01)
Introduction to Australian Securities Markets Regulation (IASMR-01)
This course examines the key Market Integrity Rules (MIRs) that are relevant to client advisers as Representatives* of Market Participants of the Australian Securities Markets. * You are a Representative of a Market Participant if you are: an...
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Case Studies 1 - ASX 24 Regulation
Case Studies 1 - ASX 24 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...
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Case Studies 1 - ASX/Chi-X Regulation
Case Studies 1 - ASX/Chi-X 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...
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Client Monies Regulation - An Introduction
Client Monies Regulation - An Introduction
In this 60-minute course (including linked reading) you will cover an introduction to the regulation of Client Monies including some of the ASIC Market Integrity Rules that govern the Markets. Copyright You have permission to post this, email...
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For Advisers - AFSL Regulation - An Introduction
For Advisers - AFSL Regulation - An Introduction
This 60 minute course (including linked reading) highlights and explains the relevant general obligations that all Australian Financial Service (AFS) Licence holders should understand and comply with. This includes the company holding the AFS...
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For Market Participant Advisers - ASX/Chi-X Regulation - An Introduction
For Market Participant Advisers - ASX/Chi-X Regulation - An Introduction
This course highlights and explains the relevant Market Integrity Rules ("MIRs") that persons who provide advice to clients as Representatives of Market Participants of the ASX and/or Chi-X should understand and comply with. You are a...
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For Principal Traders - ASX 24 Regulation - An Introduction
For Principal Traders - ASX 24 Regulation - An Introduction
This course highlights and explains the relevant Market Integrity Rules for those ASX 24 Market Participants that are Principal Traders. An ASX 24 Market Participant is a Principal Trader if the Market Participant is a Trading Participant of...
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HKEx Regulation - An Introduction
HKEx Regulation - An Introduction
In this 60 minute course (including linked reading) you will cover an introduction to the Hong Kong financial markets, including some of the Rules that govern the Hong Kong Exchange Market. Copyright You have permission to post this, email...
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HKFE Regulation - An Introduction
HKFE Regulation - An Introduction
In this 60 minute course (including linked reading) you will cover an introduction to the Hong Kong financial markets, including some of the Rules that govern the Hong Kong Futures Exchange. Copyright You have permission to post this, email...
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Introduction to Australian Futures Markets Regulation
Introduction to Australian Futures Markets Regulation
In this 60 minute course (including linked reading) you will cover an introduction to the Australian regulatory environment governing operating as a market participant in the Australian Futures markets, including the relevant ASIC Market...
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