This half-day workshop 4 gives a refresher on the requirements applicable to Responsible Executives, including the August 2010 changes covers some of the main topics covered in The ASIC Market Integrity Rules (ASX Markets) 2010 and/or The ASX Clear Operating Rules (Clearing & Settlement), Responsible Executive Examinations, now offered as one combined exam by SAFAA.
This 4-hour workshop is based on face-to-face learning and includes a mix of presentation and practice exam questions.
Attendees will walk away with a solid understanding of the following:
- RE Management & Supervision Requirements (& ASIC RM comparisons)
- Capital Adequacy, Records and Trust
- Dealing & Client relations rules
- Disciplinary Processes
- Corporations Act Requirements
Who should attend the workshop?
The workshop is intended as a refresher for existing REs who have already passed the exam(s) but may also be of interest to potential REs.
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