The next workshop will be held on Thursday 23 October from 10.00am to 12.30pm.
Register four or more (Organisation Member or Non-member) by Thursday 16 October and receive a $50pp discount. Email [email protected] to register four or more.
This online 2.5 hour workshop, including a 15 minute break, 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)
Who should attend the workshop?
This workshop will benefit those new to the stockbroking industry who wish to gain an understanding of markets. The 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.
Presenter
Professor Michael Adams
Professor Michael Adams is a specialist in Australian corporate law and international corporate governance. Michael has expertise in financial services regulation, information governance, consumer protection and the broader area of legal technology and education. Professor Adams was Dean of Law at Western Sydney Law School from 2007 to 2017 and from 2019 the Head of the University of New England Law School.
CPD
The Market Manipulation & Other Prohibited Conduct workshop provides 2.25 professional standards CPD hours to candidates.
Professional Standards CPD Areas 2.25 hours
1.25 hour Regulatory compliance and consumer protection
1.0 hour Professionalism and ethics
ASIC Knowledge Requirements
2.25 hours Generic knowledge
Registration
This interactive 2.5 hour workshop includes a 15 minute break and will be held via Zoom Meeting. Registration includes handouts and a quiz to consolidate learning outcomes.
Market Manipulation & Other Prohibited Conduct Workshop
Organisation Member: $150.00
Non-Member: $200.00
Member-Practitioner: $100.00
For more information
Email [email protected]
Telephone 02 8080 3200