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Training Workshops, Courses and Seminars are scheduled by the Stockbrokers Association of Australia throughout the year, as well as being available on an in-house basis at a date/ time that is convenient to your organisation. Click here to download the Training Calendar for current dates.
Professional Stockbrokers Program - Core 1 Preparatory Workshop - 3 CPD Hours (Compliance)
Essential for candidates undertaking the Professional Stockbrokers Program Core 1 Assignment and Exam. This 3.5 hour course workshop all topic areas in the SAA Professional Program Core 1 – Securities & Managed Investment Accreditation.
Pricing Code: A
Training Calendar | |
RE Exam Preparation Course – 10 CPD Hours (Compliance)Are you, or do you have staff who are about to sit for the ASX/ACH RE Exam? This 2 x 3-hour workshop (conducted over 2 days) will cover the exam syllabus in detail. We offer practice exam questions in class to ensure that you are well prepared for the exam and know what to expect on the day.
Pricing Code: D
Training Calendar | |
RE Exam Preparation ‘Short Course’ – 4 CPD Hours (Compliance)Are you, or do you have staff who are about to sit for the ASX/ACH RE Exam? This 4-hour workshop is a condensed version of SAA’s 2-day Responsible Executive Exam Prep Workshop. This workshop covers the ACH/ASX RE exam syllabus in detail, with 7 subject areas and 2 assessments during class time.
Pricing Code: A
Training Calendar | |
RE Refresher Workshop – 4 CPD Hours (Compliance)This half-day workshop gives a refresher on the ASX requirements applicable to Responsible Executives and goes through some of the main topics covered in the ASX Responsible Executive Exam. It is intended as a refresher for existing REs who have already passed the Exam, but may also be of interest to potential REs. Topics include: ASX RE Management & Supervision Requirements (& ASIC RM comparisons); ASX Capital Adequacy, Records, Trust; Dealing & Client relations rules; ASX Disciplinary Processes; Corporations Act requirements.
Pricing Code: A
Training Calendar | |
Market Manipulation & Prohibited Conduct Workshop – 4 CPD Hours (Compliance)This half-day workshop covers an in-depth examination of what constitutes market manipulation and other prohibited market conduct. The workshop involves a mix of presentation and scenario-based discussion. It is designed to suit the needs of market professionals, both front and back office, including: Sales staff/client representatives; Proprietary Traders; DTRs; Investment banking; Settlement staff; Compliance & legal.
Pricing Code: A
Training Calendar | |
Insider Trading Workshop – 4 CPD Hours (Compliance)This Workshop provides a thorough analysis of the subject of Insider Trading and related issues in a stockbroking and investment banking context. The workshop involves a mix of presentation, case studies and scenario-based discussion. Topics discussed include the elements of insider trading; statutory defences; insider trading and continuous disclosure; front running; dealing with rumours; management of confidential information; how to protect yourself, including Chinese walls, internal processes; and consequences of insider trading breaches. The Workshop is designed for sales staff/client representatives; proprietary traders; research analysts; investment banking; compliance and legal; regulatory staff.
Pricing Code: A
Training Calendar | |
Attract, Recruit and Retain the Best People for Your Business – 6 CPD HoursLearn how to decrease new employee turnover by 40%. Expertly tailored for SAA member firms, this one day workshop is particularly beneficial for senior executives, heads of firms and heads of desks, or any staff responsible for employing staff within stockbroking firms and investment banks. This workshop offers practical strategies you really can use to attract, recruit and retain your staff in today's increasingly competitive job market.
Pricing Code: Please contact SAA on (02) 8080 3200 or e-mail us
Training Calendar | |
Effective Client Communication – 1.5 CPD HoursDid you know that over 60% of all phones are protected by voicemail or a gatekeeper? Did you know that over 60% of emails are deleted unopened? Today there is so much information available and so much of that information is not getting to the right audience. Each time you communicate, whether oral or written, this communication defines how your audience views YOUR company, product and/or client.
The Effective Client Communication seminar is designed for senior executives, directors or senior team members who communicate with clients on a regular basis. This highly interactive seminar focuses on proven techniques to lift your impact whether communicating by telephone, email and voicemail.
By the end of the seminar, attendees will be able to: prepare and deliver a structured, compelling telephone call; leave a focused, concise voicemail message; and structure and write an effective email which gets opened.
Pricing Code: B
Training Calendar | |
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Introductory Series |
Introduction to Stockbroking – 2.5 CPD HoursThis is a securities based workshop specifically designed for newcomers to the industry, back office staff and auxiliary and supporting personnel. It is a course in stockbroking for those wishing to acquire basic knowledge in this industry. Topics include: Operation of Financial Markets; Financial Products; Taxation; Broking Operations; Regulation; 'Acronym alert' - explanation of common acronyms & jargon.
Pricing Code: A
Training Calendar | |
Introduction to Warrants - 2 CPD HoursThis 2-hour workshop covers the main types of warrants traded on the ASX, with a particular focus on equity trading warrants and instalments. Basic warrant pricing is discussed, and the role of the warrant issuer is explained. Ideal for those who wish to acquire some basic knowledge about the Australian warrants market.
Pricing Code: B
Training Calendar | |
Introduction to Options – 2 CPD hoursThis workshop covers the fundamentals of options pricing, basic option strategies, and the mechanics of trading equity options on ASX. The 2-hour workshop assumes no previous knowledge of options. It is suitable for industry participants, including client advisers and back office staff, who have no previous options experience and who wish to acquire some basic knowledge about options trading.
Pricing Code: B
Training Calendar | |
Introduction to Derivatives - 4 CPD HoursThis half-day workshop is ideal for candidates who are undertaking the SAA Derivatives Accreditation (or the ASX ADA 1). This is a preparation workshop and covers options, warrants and other equity derivatives, derivatives trading and clearing, as well as legal and tax considerations.
Pricing Code: C
Training Calendar | |
Introduction to CFDs – 3 CPD HoursThis 3-hour workshop focuses on the class of derivatives known as Contracts for Difference (CFDs). CFDs are a relatively recent addition to the available range of derivative products. In Australia, they are traded both directly with CFD providers and, since late 2007, on the ASX. While there is currently no regulatory requirement to hold specific accreditation to advise on CFDs, a sound knowledge of the different types of CFDs, their uses, and their risks and potential rewards will be valuable for advisers.
Pricing Code: A
Training Calendar | |
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Pricing Code
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Training Calendar
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Training Workshops, Courses and Seminars are scheduled by the Stockbrokers Association of Australia throughout the year, as well as being available on an in-house basis at a date/ time that is convenient to your organisation. Click here to download the Training Calendar for current dates.
Professional Stockbrokers Program - Core 1 Preparatory Workshop - 3 CPD Hours (Compliance)
Essential for candidates undertaking the Professional Stockbrokers Program Core 1 Assignment and Exam. This 3.5 hour course workshop all topic areas in the SAA Professional Program Core 1 – Securities & Managed Investment Accreditation.
Pricing Code: A
Training Calendar | |
RE Exam Preparation Course – 10 CPD Hours (Compliance)Are you, or do you have staff who are about to sit for the ASX/ACH RE Exam? This 2 x 3-hour workshop (conducted over 2 days) will cover the exam syllabus in detail. We offer practice exam questions in class to ensure that you are well prepared for the exam and know what to expect on the day.
Pricing Code: D
Training Calendar | |
RE Exam Preparation ‘Short Course’ – 4 CPD Hours (Compliance)Are you, or do you have staff who are about to sit for the ASX/ACH RE Exam? This 4-hour workshop is a condensed version of SAA’s 2-day Responsible Executive Exam Prep Workshop. This workshop covers the ACH/ASX RE exam syllabus in detail, with 7 subject areas and 2 assessments during class time.
Pricing Code: A
Training Calendar | |
RE Refresher Workshop – 4 CPD Hours (Compliance)This half-day workshop gives a refresher on the ASX requirements applicable to Responsible Executives and goes through some of the main topics covered in the ASX Responsible Executive Exam. It is intended as a refresher for existing REs who have already passed the Exam, but may also be of interest to potential REs. Topics include: ASX RE Management & Supervision Requirements (& ASIC RM comparisons); ASX Capital Adequacy, Records, Trust; Dealing & Client relations rules; ASX Disciplinary Processes; Corporations Act requirements.
Pricing Code: A
Training Calendar | |
Market Manipulation & Prohibited Conduct Workshop – 4 CPD Hours (Compliance)This half-day workshop covers an in-depth examination of what constitutes market manipulation and other prohibited market conduct. The workshop involves a mix of presentation and scenario-based discussion. It is designed to suit the needs of market professionals, both front and back office, including: Sales staff/client representatives; Proprietary Traders; DTRs; Investment banking; Settlement staff; Compliance & legal.
Pricing Code: A
Training Calendar | |
Insider Trading Workshop – 4 CPD Hours (Compliance)This Workshop provides a thorough analysis of the subject of Insider Trading and related issues in a stockbroking and investment banking context. The workshop involves a mix of presentation, case studies and scenario-based discussion. Topics discussed include the elements of insider trading; statutory defences; insider trading and continuous disclosure; front running; dealing with rumours; management of confidential information; how to protect yourself, including Chinese walls, internal processes; and consequences of insider trading breaches. The Workshop is designed for sales staff/client representatives; proprietary traders; research analysts; investment banking; compliance and legal; regulatory staff.
Pricing Code: A
Training Calendar | |
Attract, Recruit and Retain the Best People for Your Business – 6 CPD HoursLearn how to decrease new employee turnover by 40%. Expertly tailored for SAA member firms, this one day workshop is particularly beneficial for senior executives, heads of firms and heads of desks, or any staff responsible for employing staff within stockbroking firms and investment banks. This workshop offers practical strategies you really can use to attract, recruit and retain your staff in today's increasingly competitive job market.
Pricing Code: Please contact SAA on (02) 8080 3200 or e-mail us
Training Calendar | |
Effective Client Communication – 1.5 CPD HoursDid you know that over 60% of all phones are protected by voicemail or a gatekeeper? Did you know that over 60% of emails are deleted unopened? Today there is so much information available and so much of that information is not getting to the right audience. Each time you communicate, whether oral or written, this communication defines how your audience views YOUR company, product and/or client.
The Effective Client Communication seminar is designed for senior executives, directors or senior team members who communicate with clients on a regular basis. This highly interactive seminar focuses on proven techniques to lift your impact whether communicating by telephone, email and voicemail.
By the end of the seminar, attendees will be able to: prepare and deliver a structured, compelling telephone call; leave a focused, concise voicemail message; and structure and write an effective email which gets opened.
Pricing Code: B
Training Calendar | |
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Introductory Series |
Introduction to Stockbroking – 2.5 CPD HoursThis is a securities based workshop specifically designed for newcomers to the industry, back office staff and auxiliary and supporting personnel. It is a course in stockbroking for those wishing to acquire basic knowledge in this industry. Topics include: Operation of Financial Markets; Financial Products; Taxation; Broking Operations; Regulation; 'Acronym alert' - explanation of common acronyms & jargon.
Pricing Code: A
Training Calendar | |
Introduction to Warrants - 2 CPD HoursThis 2-hour workshop covers the main types of warrants traded on the ASX, with a particular focus on equity trading warrants and instalments. Basic warrant pricing is discussed, and the role of the warrant issuer is explained. Ideal for those who wish to acquire some basic knowledge about the Australian warrants market.
Pricing Code: B
Training Calendar | |
Introduction to Options – 2 CPD hoursThis workshop covers the fundamentals of options pricing, basic option strategies, and the mechanics of trading equity options on ASX. The 2-hour workshop assumes no previous knowledge of options. It is suitable for industry participants, including client advisers and back office staff, who have no previous options experience and who wish to acquire some basic knowledge about options trading.
Pricing Code: B
Training Calendar | |
Introduction to Derivatives - 4 CPD HoursThis half-day workshop is ideal for candidates who are undertaking the SAA Derivatives Accreditation (or the ASX ADA 1). This is a preparation workshop and covers options, warrants and other equity derivatives, derivatives trading and clearing, as well as legal and tax considerations.
Pricing Code: C
Training Calendar | |
Introduction to CFDs – 3 CPD HoursThis 3-hour workshop focuses on the class of derivatives known as Contracts for Difference (CFDs). CFDs are a relatively recent addition to the available range of derivative products. In Australia, they are traded both directly with CFD providers and, since late 2007, on the ASX. While there is currently no regulatory requirement to hold specific accreditation to advise on CFDs, a sound knowledge of the different types of CFDs, their uses, and their risks and potential rewards will be valuable for advisers.
Pricing Code: A
Training Calendar | |
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