This workshop is a 3 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. It would suit as a refresher for experienced staff as well as those staff in auxiliary and rotating roles: legal, IT, HR and other supporting roles associated with stockbroking.
Practitioner Member: $330.00
Organisation Member: $365.00
The workshop is based on face-to-face learning and includes a mix of presentation and case-studies.
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. Market manipulation and other prohibited conduct, as well as insider trading will also be discussed.
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. The Stockbrokers And Financial Advisers Association 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.
Will attendees receive any Continuing Professional Development (CPD) hours for attending the workshop?
Yes, 3 CPD hours will be offered to attendees. The 3 hours may be allocated in the following FASEA CPD areas (note: only 3 hours may be claimed):
- Technical competence
- Regulatory compliance and consumer protection
All attendees will receive a CPD Certificate.