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| Monday, February 06, 2012
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Training
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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.
RE Series
RE Refresher Workshop – 4CPD (Compliance)
This half-day workshop gives a refresher on the requirements applicable to Responsible Executives, including the August 2010 changes and goes through some of the main topics covered in The ASIC Market Integrity Rules (ASX Markets) 2010 and/or The ASX Clear Operating Rules (Clearing & Settlement), Responsible Executive Examinations, now offered as one combined exam by the Stockbrokers Association. It is intended as a refresher for existing REs who have already passed the exam(s) but may also be of interest to potential REs. Topics include: RE Management & Supervision Requirements (& ASIC RM comparisons); Capital Adequacy, Records, Trust; Dealing & Client relations rules; Disciplinary Processes; Corporations Act requirements.
Pricing Code: A
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RE Exam Preparation Course – 10CPD (Compliance)
Are you or your staff who are about to sit The ASIC Market Integrity Rules (ASX Markets) 2010 and/or The ASX Clear Operating Rules (Clearing & Settlement) Responsible Executive Examination? This 2 x 3-hour workshop (conducted over 2 days) will cover both the exam syllabuses, now offered as one combined exam by the Stockbrokers Association in detail. We offer practice exam questions in class to ensure that you are well prepared for the exam(s) and know what to expect on the day.
Pricing Code: D
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RE Exam Preparation ‘Short Course’ – 4CPD (Compliance)
Are you or do you have staff who are about to sit The ASIC Market Integrity Rules (ASX Markets) 2010 and/or The ASX Clear Operating Rules (Clearing & Settlement) Responsible Executive Examination? This 4-hour workshop is a condensed version of Stockbrokers Association's two-day Responsible Executive Exam Prep Workshop. This workshop covers both the exam syllabuses, now offered as one combined exam by the Stockbrokers Association, with 7 subject areas and 2 assessments during class time.
Pricing Code: A
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Introductory Series
Introduction to Derivatives - 4CPD
This half-day workshop is ideal for candidates who are undertaking the Stockbrokers Association 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
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Introduction to Stockbroking – 2.5CPD
This 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
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Introduction to Options – 2CPD
This 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
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Introduction to Warrants - 2CPD
This 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
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Introduction to Contracts for Difference (CFDs) – 3CPD
This 3-hour workshop focuses on the class of derivatives known as Contracts for Difference (CFDs). In Australia, CFDs are traded both directly with CFD providers and, since late 2007, on the ASX. This workshop covers the different types of CFDs, their uses, risks and potential rewards.
Pricing Code: A
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Professional Stockbrokers Program Preparatory Workshops
Professional Stockbrokers Program - Core 1 (RG146) Preparatory Workshop - 3CPD (Compliance)
Are you undertaking the Professional Stockbrokers Program Core 1 (RG146) Securities & Managed Investments Accreditation Assessment? Then this half-day workshop is ideal for you. Learn the syllabus in detail and key areas to focus on for your studies. Industry expert presenters and small class size for personal tuition. The Professional Stockbrokers Program Core 1 (RG146) Securities & Managed Investments Accreditation meets ASIC RG146 requirements in generic and specialist knowledge and skills in Securities and Managed Investments.
Pricing Code: F
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Margin Lending Preparatory Workshop - 2CPD (Compliance)
Are you currently enrolled in the Stockbrokers Association’s Margin Lending Accreditation or do you just want to understand how it all works? This two- hour Margin Lending Preparatory Workshop will prepare you for your online exam. It covers all topics in the Margin Lending Accreditation including: Gearing; Margin Lending; Alternative means of achieving geared exposure; Tax deductibility of the interest; Franked dividends; and Capital Gains Tax; as well as Compliance topics. Attendees will be required to complete practical exercises during the workshop that will further stimulate participation.
Pricing Code: F
Training Calendar
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Professional Development Workshops
Market Manipulation & Other Prohibited Conduct - 4CPD (Compliance)
This half-day workshop will cover an in-depth examination of what constitutes market manipulation and other prohibited market conduct. The workshop will involve 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; and Compliance & legal.
Pricing Code: A
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Insider Trading Workshop - 4CPD (Compliance)
This workshop provides a thorough analysis of the subject of Insider Trading and related issues in a stockbroking and investment banking context. 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; and regulatory staff.
Pricing Code: A
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Advanced Options Strategies Workshop - 2CPD
The 'Advanced Options Strategies' course helps you discover strategies that work according to your views of the stockmarket and the underlying shares. You will not only uncover strategies, but also the risk management plan and defense strategies for your trading plan. Some basic knowledge of options is preferred. This course is suitable for options compliance personnel and ADA Levels 1 and 2 options Adviser.
Pricing Code: B
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Algorithmic Trading & High Frequency Trading Workshop - 2CPD (Compliance)
Are you confused by all the talk about Algorithmic Trading, High Frequency trading and the ‘May 6 Flash Crash’? Rapid technological advances and market changes overseas have radically changed the nature and appearance of on-market trading and these same changes are quickly unfolding in Australia as well. This two-hour workshop looks at the growing trend of electronic trading, including Automated Order Processing (or Direct Market Access), Algorithmic Trading and High Frequency Trading. The workshop will focus on: The regulatory obligations that apply to brokers who use AOP for clients or for proprietary trading; The types of algorithmic trading and High Frequency trading strategies that are being used overseas, and increasingly in Australia; and, Potential dangers, such as the “May 6 Flash Crash”, market manipulation and disorderly markets.
Pricing Code: B
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Effective Client Communication Workshop – 2CPD
Did 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 workshop is designed for senior executives, directors, senior team members or any other staff members who communicate with clients on a regular basis. This highly interactive workshop focuses on proven techniques to lift your impact whether communicating by telephone, email and voicemail and is an absolute must for anyone looking to further strengthen their client relations and converse externally in a more successful manner. By the end of the workshop, 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
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Exchange Traded Funds Seminar - 1CPD
This seminar is aimed at making a broker's life easier and informing brokers on how they can save time and money in their business by using ETFs. Key topics covered are: ETFs – the mechanics and how they work; Benefits of ETFs and how you can use ETFs in your business; and solutions to help save you time and money.
Pricing Code: E
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Investing With Options in SMSFs – 2CPD
This 2-hour workshop focuses on the use of options within a Self Managed Super Fund (SMSF). Participants will learn how options can be incorporated as part of a SMSF share portfolio within the context of the Superannuation Industry Supervision Act. In addition to understanding the basic concepts of options, the do's and don'ts of strategies within a SMSF are expounded upon. This workshop does not assume prior knowledge in options and is a pre-cursor to learning more options strategies offered by the Advanced Options Course. This course is suitable for new Options Advisers and Advisers, trustees and administrators of SMSFs.
Pricing Code: B
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