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ASX/Chi-X Australia Markets Regulation - An Introduction

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Description

In this 60 minute module (including linked reading) you’ll cover an introduction to the regulation of Australian equities markets, including some of the ASIC Market Integrity Rules that govern both the ASX and Chi-X Australia Markets.

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
  • Regulation – Market Operators
  • Regulation – Market Participants
  • Knowledge Check – Markets Regulation
  • Rules and Regulations
  • ASIC Rules/Regulations
  • Market Operator Rules/Procedures
  • Provision of Regulatory Data - Competition MIRs
  • Knowledge Check – Equity Markets Rules and Regulations
  • Knowledge Check – Market Operator Rules and Regulations
  • Supervision and Risk Management
  • Supervision and Risk Management – AFSL and MIR requirements
  • Knowledge Check – Supervision & Risk Management
  • Trading principles and Prohibited Conduct
  • General conduct obligations and manipulation
  • Market manipulation - Corporations Act
  • Market manipulation – Market Integrity Rules
  • Market manipulation – Circumstances of Orders
  • Market manipulation – Summary
  • Fair and orderly markets
  • Conduct - Futures Market Transactions
  • Knowledge Check – Manipulation – MIRs
  • Knowledge Check – Market manipulation
  • Knowledge Check – Fair and orderly markets
  • Automated Order Processing ("AOP")
  • Order Entry - AOP & DTR
  • AOP – System Requirements
  • AOP - Organisational & Technical Resources
  • AOP – Reviews and Certifications
  • AOP – Material Change obligations
  • AOP – ASIC powers
  • Knowledge Check – Automated trading
  • Knowledge Check – AOP Annual Review
  • Short Selling
  • Short Selling - Requirements
  • Short Selling – ASIC Reporting
  • Short Selling – ASX Reporting
  • Knowledge Check – Short Selling
  • Crossing Activity
  • On-Market Crossings
  • Off-Market Crossings
  • Crossing Engines
  • Late trading
  • Late Trading - Definition and Regulation
  • Late Trading – Times and Reporting
  • Late trades – Permitted Trades
  • Knowledge Check – Late Trading
  • Knowledge Check – Late Trade Types
  • Knowledge Check – Late trading overnight
  • Takeovers
  • On-Market Takeovers – Acting for Bidder
  • On-Market Takeovers – Crossings
  • On-Market Takeovers – Special Crossings
  • Knowledge Check – Crossings during Takeovers
  • Knowledge Check – Special Crossings during Takeovers
  • Competition MIRs
  • National Best Bid and Offer ("NBBO")
  • What is Price Improvement?
  • Knowledge Check - Price Improvement
  • Governance, escalation and Reporting
  • Corporate Governance Framework
  • Escalation and Self-Reporting
  • Suspicious Activity Reporting
  • Knowledge Check – Escalation
  • Knowledge Check – Self Reporting
  • Knowledge Check – Suspicious Activity Reporting
  • Consequences of Misconduct
  • Consequences of Misconduct
  • Knowledge Check – Consequences of Misconduct
  • Summary Quiz
  • Summary Quiz
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: 1 year