Welcome to Case Studies 2 of 2023 – Securities Markets Course.

The content of this course covers 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.

This course consists of 3 separate micro lessons. You must complete all these modules and pass a final quiz.

MICRO-MODULE 1: infringement Notice - MDP 04/23 OPEN MARKETS - supervisory procedures, technical resources, AOP and account reconciliation
MICRO-MODULE 2: Infringement Notice - MDP 05/23 INTERACTIVE BROKERS - suspicious orders
MICRO-MODULE 3: Infringement Notice - MDP 06/23 INSTINET - fair and orderly markets

You may be able to claim 1.0 CPD hour for the completion of this course. For advice, consult your CDP Plan, Compliance Manager or Financial Adviser Standard’s CPD guidelines.

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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. MIntegrity, 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.