Market Manipulation & Other Prohibited Conduct workshop

The Market Manipulation & Other Prohibited Conduct workshop provides 3 FASEA CPD hours to candidates.  See breakdown for FASEA CPD areas:

 

FASEA CPD Area
Technical  competence 1 hour
Regulatory compliance and consumer protection 1 hour
Professionalism and ethics 1 hour
Total Hours 3 hours

 

Find out what Market Manipulation & Other Prohibited Conduct is all about.

This action-packed 3 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)

Pricing

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

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.

Can’t see this this workshop on our public CPD Calendar?  Or this date doesn’t work for you?  We can run this workshop on an inhouse basis for any organisation at a date and time that works for them.  Please contact us on email education@stockbrokers.org.au or telephone +61 2 8080 3200 to discuss date/time/cost.

See CPD Calendar for other upcoming CPD Workshops

Online Terms and Conditions

Market Manipulation & Other Prohibited Conduct Workshop

September 05 2019 @ 09:00 am - 12:00 pm

Venue: SAFAA office - Level 6, 56 Pitt Street – Sydney

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

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Market Manipulation & Other Prohibited Conduct Workshop

September 17 2019 @ 01:30 pm - 04:30 pm

Venue: TBA – Melbourne

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

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Market Manipulation & Other Prohibited Conduct Workshop

November 19 2019 @ 09:00 am - 12:00 pm

Venue: SAFAA office - Level 6, 56 Pitt Street – Sydney

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

Add to cart

Market Manipulation & Other Prohibited Conduct Workshop

November 28 2019 @ 01:30 pm - 04:30 pm

Venue: TBA – Melbourne

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

Add to cart