The workshop is based on face-to-face learning and involves a mix of presentation, case studies and scenario-based discussion.
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?
Each workshop will cover an in-depth examination of the relevant subject area, and will be suited to those who require them to have a detailed understanding of the subject area. This target 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.
Will attendees receive any CPD points for attending the workshop?
Yes, all attendees will receive a CPD Certificate for four (4) hours (Generic, Securities, Managed Investments, Compliance).
See CPD Calendar for other upcoming CPD Workshops