Intro to Stockbroking & Financial Advising Workshop

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 & Financial Advising 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 broking in Australia sets the scene for explanation of the current market structure, operations and regulation.

A high-level view of stockbroking and financial 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.


Practitioner Member: $330.00
Organisation Member: $365.00
Non-Member: $395.00

Face-to-face learning

The workshop is based on face-to-face learning and involves a mix of presentation, case studies and scenario-based discussion.

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’ – 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.

Will attendees receive any CPD points for attending the workshop?

Yes, all attendees will receive a CPD Certificate for 3 CPD hours (in the product areas of Generic, Securities and/or Managed Investments).

See CPD Calendar for other upcoming CPD Workshops

Online Terms and Conditions