Market Manipulation & Other Prohibited Conduct workshop


This 2-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)

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. 

CPD

The Market Manipulation & Other Prohibited Conduct workshop provides 2 FASEA CPD hours to candidates.

FASEA CPD Areas 2.0 hours
1.0 hour Regulatory compliance and consumer protection
1.0 hour Professionalism and ethics

ASIC Knowledge Requirements
2.0 hours Generic knowledge

Registration

Handouts will be provided.

For more information

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

See CPD Calendar for other upcoming CPD Workshops

Online Terms and Conditions