Market manipulation & other prohibited conduct workshop

The next workshop will be held on Thursday 2 March 2023 11.00am to 1.15pm. 
Register four or more (Organisation Member or Non-member) and receive a $50pp discount.

This online 2-hour workshop will examine what constitutes market manipulation and other prohibited market conduct. This workshop will involve a mix of presentation and scenario-based discussion. It is designed to suit the needs of financial market professionals from the front and back office.

Learning outcomes

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

  • Different types of market manipulation (including: market rigging, false trading, wash sales, pre-arranged trading, pools/churning, ‘spoofing’)
  • False/misleading statements, ‘rumourtrage’
  • The specific obligations in the Corporations Act and ASX Rules
  • The difference between manipulation and ordinary market forces
  • How to protect yourself
  • Major cases and ‘War Stories’
  • Consequences of Market Manipulation, including civil, criminal and administrative sanctions
  • Surveillance and enforcement activity (ASX, ASIC and internal compliance)

Who should attend the workshop?

This workshop will benefit those new to the stockbroking industry who wish to gain an understanding of markets. The audience may include: Sales staff/client representatives, Proprietary traders, DTRs, Equities Research analysts, Investment banking, Settlement staff, Compliance and Legal.

Is there any assumed pre-requisite knowledge for attendees?

There is no assumed knowledge for participants of this workshop. 


Professor Michael Adams

Professor Michael Adams is a specialist in Australian corporate law and international corporate governance. Michael has expertise in financial services regulation, information governance, consumer protection and the broader area of legal technology and education. Professor Adams was Dean of Law at Western Sydney Law School from 2007 to 2017 and from 2019 the Head of the University of New England Law School.


The Market Manipulation & Other Prohibited Conduct workshop provides 2 professional standards CPD hours to candidates.

Professional Standards CPD Areas 2.0 hours
1.0 hour Regulatory compliance and consumer protection
1.0 hour Professionalism and ethics

ASIC Knowledge Requirements
2.0 hours Generic knowledge


This interactive workshop includes a 15 minute break and will be held via Zoom Meeting. Registration includes handouts and a quiz to consolidate learning outcomes.

Register four or more (Organisation member or non-member) by Thursday 23 February 2023 to receive a $50pp discount. Registration includes handouts and a quiz to consolidate learning outcomes. Email or phone 02 8080 3200 to register four or more.  

Market Manipulation & Other Prohibited Conduct Workshop

2 March 2023 @ 11:00 am – 01:15 pm

Non-Member: $200.00
Organisation Member: $150.00
Practitioner Member: $100.00

For more information

Telephone 02 8080 3200

See CPD Calendar for other upcoming CPD Workshops

Online Terms and Conditions