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Case Study 2022 - Australian Futures Market (CSAUFU2022)


Description
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 Futures Markets.
Case Studies included:
Infringement Notice – MDP 02/21 Life trading - Supervisory policies and procedures
Infringement Notice – MDP 01/22 BGC Partners - Pre-negotiated business orders
Infringement Notice – MDP 02/22 ABN AMRO - Trading principles for block trades
Content
  • Case Studies 2022 - Futures Markets Regulation Intro.pptx
  • overview of regulation
  • Case Studies 2022 - Futures Markets Regulation - Overview of regulation.pptx
  • Knowledge Check
  • Close of Regulation Overview
  • Micro module 1
  • Case Studies 2022 - Futures Markets Regulation MM1.pptx
  • Knowledge Check MM1
  • Close of Micro-module 1
  • micro module 2
  • Case Studies 2022 - Futures Markets Regulation MM2.pptx
  • Knowledge Check MM2
  • Close of Micro-module 2
  • micro module 3
  • Case Studies 2022 - Futures Markets Regulation MM3.pptx
  • Knowledge Check MM3
  • Close of Micro-module 3
  • final summary quiz
  • CSAUFU2022 Summary Quiz
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: 1 year
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