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Refresher - ASX 24 Regulation

Plus Package Courses


Description

In this 45 minute course (including linked reading) you will cover the regulation of Australian capital markets with particular focus on infringement notices and steps that might be taken in order to prevent and mitigate breaches of the rules that govern the ASX 24 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
  • Market regulation Overview
  • Regulation
  • Infringement notice - MDP 08/14 Credit Suisse
  • Infringement Notice
  • Background
  • MIR Obligations
  • Penalties
  • Complying with the rules
  • Knowledge Check – Error Trades
  • Knowledge Check - Error Trades
  • Infringement Notice - MDP 01/15 FC Stone
  • Infringement Notice
  • Background
  • MIR Obligations
  • Penalties
  • Complying with the rules
  • Knowledge Check – Limits and Connections
  • Knowledge Check – Reconciliations
  • Infringement Notice - MDP 09/13 Macquarie Bank
  • Infringement Notice
  • Background
  • MIR Obligations
  • Penalties
  • Complying with the rules
  • Knowledge Check – Client segregated account
  • Knowledge Check – Client Money
  • Summary quiz
  • Summary Quiz
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: 1 year