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Refresher - ASX/Chi-X 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 and Chi-X 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 12/14 BBY
  • Infringement Notice
  • Background
  • MIR Obligations
  • Penalties
  • Complying with the rules
  • Knowledge Check – AOP System Requirements
  • Knowledge Check – AOP System Requirements
  • Infringement Notice - MDP 11/14 Merrill Lynch
  • Infringement Notice
  • Background
  • MIR Obligations
  • Penalties
  • Complying with the rules
  • Knowledge Check – Use of Automated System
  • Knowledge Check – Fair and Orderly Markets
  • Infringement Notice - MDP 02/14 Pershing
  • Infringement Notice
  • Background
  • MIR Obligations
  • Penalties
  • Complying with the rules
  • Knowledge Check – Confirmations
  • Knowledge Check – Confirmations
  • Summary Quiz
  • Summary Quiz
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: 1 year