Plus Package Courses

Exchange for Physical and Special Crossing Transactions Regulations (EFPM-01)


Description
In this 90 minute course (including linked reading) you will cover the rules and regulations that govern the Exchange for Physical Transactions and Special Crossings with a focus on steps that might be taken in order to prevent and mitigate breaches of the rules that govern this Market in Australia.

Copyright
Copyright © 2021 MIWize. All rights reserved. No part of this learning material may be reproduced, distributed, or transmitted in any form or by any means, including photocopying, recording, or other electronic or mechanical methods, without the prior written permission of the publisher.

Disclaimer
This e-learning content should be used as a guide only and is not meant to replace any specific advice from your employer. Please be sure to take specialist advice if you are in doubt. MIWize, its employees and contractors disclaim all and any liability to any persons whatsoever in respect of anything done by any person in reliance, whether whole or in part, on this e-learning content.
Content
  • Introduction - Learning Outcomes
  • Micro Module 1: EFP Overview and Regulation
  • What is an EFP?
  • Regulation
  • Corporations Act
  • ASX and ASX24 Operating Rules
  • Market Integrity Rules
  • Knowledge Check - EFP Regulation
  • Knowledge Check - EFP Regulation
  • Close of Micro-module 1
  • Micro module 2: ASX24 Operating Procedures for EFPs
  • 1. Transaction in a physical commodity or instrument
  • 2. Accepted physical commodities or instruments against Exchange Listed Futures
  • 3. Multiple Futures and Physical
  • 4. Price
  • 5.EFP Lodgement Times
  • Knowledge Check - ASX24 Operating Procedures
  • Knowledge Check - ASX24 Operating Procedures
  • Close of Micro-module 2
  • micro module 3: Records and Cancellations
  • Retention of Records
  • Accepted physical commodities or instruments against Market Operator Futures
  • Cancellations
  • Knowledge Check - Cancellation
  • Knowledge Check - Records sample
  • Close of Micro-module 3
  • micro module 4: Additional Exchange Requirements
  • Acceptance of an EFP
  • Publication and Submission
  • Open Positions and Direct Transactions
  • Knowledge Check - Exchange requirements
  • Close of Micro-module 4
  • micro module 5: ETO Special crossings
  • Crossings
  • Special Crossings - General Requirements
  • Single Series and Derivatives
  • Combinations
  • Reporting and restrictions
  • Knowledge Check - ETO Special Crossings
  • Knowledge Check - ETO Special Crossings
  • Close of Micro-module 5
  • micro module 6: block trades
  • Market Integrity Rules
  • Block Trade Procedures
  • Block Trade Procedures continued
  • Cancellation of Block Trades
  • Block Trade Night Session
  • Knowledge Check - Block Trades
  • Knowledge Check - Block Trades
  • Close of Micro-module 6
  • micro module 7: Reporting procedures
  • ASX 24 Reporting Rules
  • ASX Reporting Derivatives Market Transactions
  • Reporting Requirements
  • Automatic Reporting
  • Knowledge Check - Reporting
  • Knowledge Check - Reporting
  • Close of Micro-module 7
  • micro module 8: consequences of misconduct
  • Consequences of Misconduct
  • Operator Rules
  • Corporations Act
  • Internal Policy
  • Case Study 1
  • Case Study 2
  • Knowledge Check - Consequences of Misconduct
  • Knowledge Check - Consequences of Misconduct
  • Close of Micro-module 8
  • final knowledge quiz
  • EFP & Special Crossings - Final Knowledge Quiz
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: 1 year