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Client Monies Regulation - An Introduction

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Description

In this 60-minute course (including linked reading) you will cover an introduction to the regulation of Client Monies including some of the ASIC Market Integrity Rules that govern the Markets.

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
  • client money overview
  • What is client money
  • Trust Accounts and Interest
  • Knowledge Check - Trust accounts
  • markets regulation overview
  • Regulation – Market Operators
  • Regulation – Market Participants
  • Knowledge Check – Markets Regulation
  • Rules and Regulations
  • ASIC Rules/Regulations
  • Market Operator Rules/Procedures
  • Knowledge Check – Rules and Regulations
  • Knowledge Check – Market Operator Rules and Regulations
  • client money obligations
  • Client money obligations
  • ASX Futures
  • ASX Futures Reconciliations
  • ASX and Chi-X Australia Reconciliations
  • ASX and Chi-X Australia Reconciliations - Reporting
  • ASX 24 Reconciliations - Daily
  • ASX 24 Reconciliations - Monthly
  • ASX 24 Reconciliations – Annual
  • ASX 24 Reconciliations - Reporting
  • Corporations Act
  • Buffers
  • ASX Market Operator
  • Practical Applications
  • Directors and Responsible Executive Responsibilities
  • Knowledge Check – Client money obligations
  • Knowledge Check – ASX Futures
  • Knowledge check – ASX Futures Reconciliations
  • Knowledge Check – ASX and Chi-X
  • Knowledge Check – ASX 24 Reconciliations - Monthly
  • Knowledge Check – Corporations Act
  • Knowledge Check - Buffers
  • Knowledge Check – Client money obligations
  • Knowledge Check – Directors and Responsible Executives
  • Supervision and Risk Management
  • Who’s Checking the Checker
  • Markets Disciplinary Panel
  • Enforceable undertakings
  • Knowledge Check – Supervision and Risk Management
  • Governance, escalation and Reporting
  • Corporate Governance Framework
  • Escalation and Self Reporting
  • 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