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For Principal Traders - ASX 24 Regulation - An Introduction

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Description

This course highlights and explains the relevant Market Integrity Rules for those ASX 24 Market Participants that are Principal Traders.

An ASX 24 Market Participant is a Principal Trader if the Market Participant is a Trading Participant of the ASX 24 with Trading Permissions in one or more products but is only allowed to trade those products on its own behalf.

A Principal Trader only engages in proprietary trading on its own behalf, that is, a Principal Trader has NO clients.

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
  • Market regulation overview
  • Regulation – Market Operators
  • Regulation – Market Participants
  • Market Participant - What are Principal Traders?
  • Regulation – Market Participants – Foreign Participants
  • Knowledge Check –Markets Regulation
  • Rules and Regulations
  • ASIC Rules and Regulations
  • Market Operator Rules and Procedures
  • Provision of Regulatory Data - Competition MIRs
  • Knowledge Check – Market Operator Rules and Regulations
  • Supervision and Risk Management
  • Supervision and Risk Management – AFSL and MIR requirements
  • Limit Setting Capability
  • Connection Requirements
  • Other Supervisory Obligations
  • Knowledge Check – Supervision & Risk Management
  • Knowledge Check – Limits and Connections
  • Trading Principles - Prohibited Conduct
  • Trading Principles
  • Wash Trades
  • Market manipulation – Corporations Act
  • Market manipulation – Market Integrity Rules
  • Market manipulation – What "acting as Principal" mean?
  • Knowledge Check - Trading Principles
  • Knowledge Check – Wash Trades
  • Knowledge Check - Intent to Trade
  • Knowledge Check - Market manipulation
  • Governance, escalation and Reporting
  • Corporate Governance Framework
  • Escalation and Self-Reporting
  • Knowledge Check – Escalation
  • Knowledge Check – Self 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