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ASX 24 Market Regulation - An Introduction

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Description

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 ASX 24 markets, including the relevant ASIC Market Integrity Rules, Operating Rules and Procedures and provisions of the Corporations Act 2001.

Copyright
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Disclaimer
This course should be used as a guide only and 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 course.

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Content
  • Introduction - Learning Outcomes
  • Markets Regulation Overview
  • Overview of Regulation - Market Operators
  • Overview of Regulation – Market Participants
  • Knowledge Check 1 - Australian Markets Regulation
  • Rules and Regulations
  • What ASIC Rules and Regulations apply to the markets?
  • What Market Operator Rules and Procedures apply
  • Provision of Regulatory Data - Competition MIRs
  • Knowledge Check 2 - Rules and Regulations
  • Supervision and Risk Management
  • Limit Setting Capability
  • Connection Requirements
  • Supervisory Policies and Procedures
  • Additional Supervisory Procedures
  • Knowledge Check 3 - Limits and Connections
  • Knowledge Check 4 - Supervision
  • Trading Principles
  • ASX 24 Trading Principles - 1 to 9
  • ASX 24 Trading Principles - 10 to 18
  • Other Trading Principles
  • Knowledge Check 5 - Intent to Trade
  • Knowledge Check 6 - Withholding
  • Knowledge Check 7 - Disclosure
  • Knowledge Check 8 - Order Aggregation
  • Market Manipulation
  • Prohibited Trading Activity
  • Market Manipulation - Corporations Act
  • Market Manipulation - ASX 24 MIRs
  • Circumstances of Orders
  • What is meant by 'Principal'?
  • Knowledge Check 9 - Prohibited Trading
  • Knowledge Check 10 - False or misleading impression
  • Knowledge Check 11 - Circumstances of Orders
  • Knowledge Check 12 - Trading as principal
  • Governance, Escalation and Reporting
  • Corporate Governance Framework
  • Escalation and Self Reporting
  • Wash Trade Reporting
  • Knowledge Check 13 - Corporate Governance
  • Knowledge Check 14 - Escalation
  • Consequences of Misconduct
  • Consequences of Misconduct
  • Knowledge Check 15 - Consequences of Misconduct
  • Summary Quiz
  • Summary Quiz
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: 1 year