Plus Package Courses

Case Studies 1 - Securities Markets Regulation


Description
This 45 minute course (including linked reading) is designed to enhance the participants’ understanding of the regulation of the Securities 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 Securities Market.

Learning outcomes include; Overview of Australian markets regulation, AOP system requirements, proper use of AOP systems, Fair and orderly markets, Order confirmations, Consequences of misconduct and Preventing breaches of the MIRs. Successful completion of the final knowledge quiz on learning outcomes leads to a Certificate of Completion.

You may be able to claim 1.0 CPD hour for the completion of this course in the CPD Competency category of Regulatory Compliance and Consumer Protection. For advice, consult your CDP Plan, Compliance Manager or Financial Adviser Standard's CPD guidelines.

Copyright
Copyright © MIntegrity. All rights reserved. No part of this learning material may be reproduced, distributed, or transmitted in any form or by any means, including photocopying, recording, or other electronic or mechanical methods, without the prior written permission of the publisher.

Disclaimer
This e-learning content should be used as a guide only and is 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 content.

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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 certificate with a duration: 1 year