This half-day course (4 hours in total) gives a refresher on the requirements applicable to Responsible Executives, including changes covering some of the main topics covered in The ASIC Market Integrity Rules (Securities Markets) 2017 and the ASX Clear Operating Rules (Clearing & Settlement).
$570 (including GST)
This course 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 course?
The course 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 course.
Will attendees receive any CPD points for attending the course?
Yes, the RE Refresher Course provides 4 FASEA CPD hours to candidates. See breakdown for FASEA CPD areas:
FASEA CPD area
Technical competence 2 hours
Regulatory compliance and consumer protection 2 hours
Total Hours 4 hours
Regarding RG146 CPD, candidates may claim 4 hours of CPD (Generic, Securities, Managed Investments and/or Compliance)