Introduction to stockbroking

The next workshop will be held on Wednesday 21 February 2024 11.00am to 1.15pm. 

Australia’s financial markets are among the most sophisticated and well regulated markets in the world. Central to the operation of efficient markets is the role of stockbrokers.

The Introduction to stockbroking workshop provides an overview of Australia’s financial markets and the critical role that stockbrokers play in both retail and institutional markets. A short history of stockbroking in Australia sets the scene for explanation of the current market structure, operations and regulation.

A high-level view of stockbroking and investment advisory operations including order taking, transaction and settlement will provide insight into the different systems involved and allow for a discussion of the different business models in stockbroking today.

Learning outcomes

Attendees will expect to walk away with a solid understanding of the following:

  • Operation of Financial Markets
  • Financial Products
  • Taxation
  • Stockbroking Operations
  • Regulation
  • Acronym Alert – an explanation of common acronyms and jargon

Who should attend the workshop?

The workshop is designed for individuals who are back office and/or auxiliary staff and any other supporting personnel in stockbroking and financial advisory firms, along with newcomers to the industry. People working in other financial services businesses may also benefit and deepen their understanding of the stockbroking and financial advising industry.

Is there any assumed pre-requisite knowledge for attendees?

There is no assumed knowledge for participants of this workshop.


Russell McKimm MSIAA

During his 40+ year career in stockbroking Russell has held a number of senior management positions in leading broking firms as well as providing advice to a wide range of clients. He has also been involved in numerous industry bodies including President of the Financial Planning Association of Australia (FPA), board member of Stockbrokers Association (now SIAA) and as a board member of the Financial Ombudsman Service (FOS). He has always had a passion for educating clients which he has fulfilled by being a lecturer in many industry courses and through his commitments including his talkback radio program on 2GB.


Professional Standards CPD Areas 2.0 hours:
1.0 hour Regulatory compliance and consumer protection
0.5 hour Technical competence
0.5 hour Professionalism and Ethics

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.

For more information

Email [email protected]
Telephone 02 8080 3200

See CPD Calendar for other upcoming CPD Workshops

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