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Refresher - ASX 24 Principal Traders

Plus Package Courses


Description

In this 30-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
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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
  • Infringement Notice - MDP 08/12 BGC
  • Infringement Notice
  • Background
  • MIR Obligations
  • Penalty Tiers
  • Penalties
  • Complying with the rules
  • Knowledge Check – Withholding orders
  • Knowledge Check – Withholding orders
  • Infringement Notice - MDP 14/14 ABN AMRO
  • Infringement Notice
  • Background
  • MIR Obligations
  • Penalties
  • Complying with the rules
  • Knowledge Check – Limits and Connections
  • Knowledge Check – Limits and Connections
  • Summary Quiz
  • Summary Quiz
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: 1 year