The next workshop will be held on Wednesday 18 October 2023 11.00am to 1.15pm
Register four or more (Organisation member or Non-member) by Wednesday 11 October and receive a $50pp discount. Email email@example.com to register four or more.
This online workshop is a 2-hour short course in operations that focuses on the evolution of share and derivative trades from order placement through to execution to settlement (and later exercise/expiry where relevant) and reporting requirements.
The workshop provides a comprehensive overview of the market and operational process and is an excellent foundation for retail desk assistants.
The workshop covers the operations process. Attendees will walk away with a solid understanding of the following:
- Client onboarding processes;
- The process of share and derivative trades from order placement through to execution to settlement;
- Sponsorship/HINs, deceased estates;
- CHESS messaging and settlement processing;
- Paper transfers;
- Short sales reporting requirements.
Participants will also learn about who regulates the industry and what they do, and the obligations of Licence holders.
Who should attend the workshop
This workshop is an excellent refresher for experienced staff and perfect for those staff in auxiliary and rotating roles eg. Desk assistants, Legal, IT, HR and other supporting roles associated with stockbroking. It will also benefit those who have not had any direct industry experience. SIAA has run this workshop for market professionals in both front and back office, including compliance and stockbroking sales staff/client representatives/advisors, Proprietary Traders, DTRs, Investment banking staff, settlement staff, and compliance & legal teams.
Is there any assumed pre-requisite knowledge for attendees?
There is no assumed knowledge for participants of this workshop.
Rob joined Webull Securities, a Fintech empowering individuals to become life-long investors, as its CEO in November 2021. Prior to this he was the Responsible Manager who led the trade execution business of Australian Investment Exchange (AUSIEX), a multifaceted business responsible for the execution and management of all listed security products across ASX and Cboe. With over 18 years’ experience across retail, wholesale and institutional channels Rob will provide great insight into a day in the life of a trade.
A day in the life of a trade workshop provides 2 Professional development CPD hours to candidates. See breakdown for CPD areas:
Professional development CPD Areas 2.0 hours
1.0 hour Technical competence
1.0 hour Regulatory compliance and consumer protection
ASIC Knowledge Requirements
2.0 hours Generic knowledge
This workshop includes a 15 minute break and will be held via Zoom. Registration includes handouts and a quiz to consolidate learning outcomes.
Register four or more (Organistion Member or Non-member) by Wednesday 11 October 2023 and receive a $50pp discount. Email firstname.lastname@example.org to register four or more.
A day in the life of a trade workshop
Organisation Member: $150.00
Student Affiliate Member: $50.00
Handouts will be provided
For more information
Telephone 02 8080 3200