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SSX 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 financial markets, including some of the ASIC Market Integrity Rules that govern the Sydney Stock Exchange ("SSX"), formerly APX, Market.

Copyright
You have permission to post this, email this, print this, copy this for fair use as long as you make no changes or edits to its original contents or digital format. We reserve the right to bind it and sell it as a book.

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
  • Market Regulations Overview
  • Regulation – Market Operators
  • Regulation – Market Participants
  • Knowledge Check – Markets Regulation
  • Rules and Regulations
  • ASIC Rules/Regulations
  • Other Market Rules/Regulations
  • Knowledge Check – Rules and Regulations
  • Knowledge Check – Rules and Regulations
  • Supervision and Risk Management
  • Supervisory Structure
  • Responsible Executives
  • Designated Trading Representatives (DTRs)
  • Knowledge Check – Supervision and Risk Management
  • Knowledge Check – Responsible Executives
  • ssx market participants
  • Client Obligations - Client protections
  • Client Obligations - Trading with a Client as Principal
  • Client Obligations - Client Instructions
  • Client Obligations – Client Money and Property
  • Client Obligations - PI Insurance and Client Complaints
  • Trading Obligations
  • Trading Obligations continued
  • Knowledge Check – Client Instructions
  • Knowledge Check – Client Money and Property
  • Knowledge Check – General Trading Obligations
  • Trading Principles - Prohibited Conduct
  • General conduct obligations and manipulation
  • Market manipulation - Corporations Act
  • Market manipulation - APX Market Integrity Rules
  • Market manipulation - What is a Principal
  • Market manipulation – Circumstances of Orders
  • Knowledge Check – Manipulation - MIRs
  • Knowledge Check – Market manipulation
  • Knowledge Check – Circumstances of Orders
  • 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