A Day in the Life of a Trade workshop

Continuing Professional Development (CPD) 

The Day in the Life of a Trade workshop provides 3 FASEA CPD hours to candidates.  See breakdown for FASEA CPD areas:

Technical  competence 1 hour
Regulatory compliance and consumer protection 2 hours
Total Hours 3 hours


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
Non-Member: $395.00

Face-to-face learning

This workshop is based on face-to-face learning and includes a mix of presentation and case-studies.  All SAFAA facilitators are led and/or conducted by persons who are appropriate, and have sufficient standing, expertise, academic qualifications and/or practical experience.

Learning outcomes

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;
  • Registries;
  • 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.

For more information

Email education@stockbrokers.org.au
Telephone 02 8080 3200

See CPD Calendar for other upcoming CPD Workshops

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