SIAA accredited CPD webinars are offered free to Principal, Practitioner and Affiliate members. Content will be delivered via panels, interactive discussion, presentations and quizzes and to be eligible for CPD you will need to participate in the webinar live.
SIAA CPD workshops provide online learning opportunities and are delivered by industry experts, sharing real world knowledge and experience. Charges apply.
Introduction to stockbroking workshop
Tuesday 10 October 11.00-1.15pm
Australia’s financial markets are among the most sophisticated and well-regulated markets in the world. Central to the operation of efficient markets is the role of stockbrokers. This workshop provides an overview of Australia’s financial markets and the critical role that stockbrokers play both in retail and institutional markets. A high-level view of stockbroking and financial advisory operations including order taking, transaction and settlement will provide insight into the different systems involved and allow for a discussion of the different business models in stockbroking today.
Russell McKimm
During his 40+ year career in stockbroking Russell has held a number of senior management positions in leading broking firms as well as providing advice to a wide range of clients. He has also been involved in numerous industry bodies including President of the Financial Planning Association of Australia (now FAAA) and board member of Stockbrokers Association (now SIAA). He has always had a passion for educating clients which he has fulfilled by being a lecturer in many industry courses and through his commitments including his talkback radio program on 2GB.
Professional Standards CPD Area: 1.0 Regulatory compliance and consumer protection | 1.0 Professionalism and ethics
ASIC RG146: 2.0 Generic Knowledge
Introduction to Stockbroking Workshop
Non-Member: $200.00
Organisation Member: $150.00
Student Affiliate Member: $50.00
Fraud horizon and detection webinar
Wednesday 11 October from 1.00pm to 2.00pm AET
Bryce Watson, Regional Head of Financial Crime at Computershare, will focus on fraud awareness and trends. Bryce will outline various types of scams, accompanied by statistics on scam data. He will delve into recognising red flags and provide practical prevention tips to safeguard against fraudulent activities. In this ever-increasing environment of cyber-crime, this topic is most timely.
Bryce Watson, Regional Head of Financial Crime, Computershare
Prior to joining Computershare early this year, Bryce had a 21-year career in the NSW Police where he was a senior detective. Bryce spent the majority in major and organised crime, being Financial Crime Squad, Drug Squad, and Homicide Squad, alongside local area commands, encompassing a wide array of investigative matters. Bryce is also a qualified solicitor and has performed roles within Police Prosecutions and as a legal consultant for major crime squads. At Computershare Bryce’s purview extends across China, Hong Kong, Australia, and New Zealand, encompassing investigations, financial crime risk management, and comprehensive oversight of prevention and detection strategies.
Professional standards CPD: 0.5 Client care and practice | 0.5 Regulatory compliance and consumer protection
ASIC RG146: 1.0 Generic Knowledge
Webinar - Fraud horizon and detection
Non-Member: $75.00
Organisation Member: $0.00
Student Affiliate Member: $0.00
Market manipulation and other prohibited conduct workshop
Tuesday 17 October 10.00-12.15pm
This workshop focuses on the prohibition on creating or maintaining an artificial price for trading in various financial products, including shares and futures. This workshop will benefit all who wish to gain an understanding of markets and the consequences of breaching obligations. Designed to suit the needs of financial market professionals from the front and back office, this is a great opportunity to brush up on your obligations, learn how to protect yourself and understand the difference between manipulation and ordinary market forces.
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.
Professional Standards CPD Area: 1.0 Regulatory compliance and consumer protection | 1.0 Professionalism and ethics
ASIC RG146: 2.0 Generic Knowledge
Market Manipulation & Other Prohibited Conduct Workshop
Non-Member: $200.00
Organisation Member: $150.00
Student Affiliate Member: $50.00
A day in the life of a trade workshop
Wednesday 18 October 11.00-1.15pm
An excellent refresher for experienced staff and perfect for those in auxiliary roles (eg legal, IT, HR and other supporting roles associated with stockbroking), this workshop delves deep into the day of a life of a trade. You will walk away with a solid understanding of client onboarding processes; the process of share and derivative trades from order placement through execution to settlement; sponsorship/HINS; CHESS messaging; registries and more.
Rob Talevski, CEO, Webull Securities
Rob joined Webull Securities, a Fintech empowering individuals to become life-long investors, as its CEO in November 2021. Prior to this he was the Responsible Manager who led the trade execution business of Australian Investment Exchange (AUSIEX). With over 18 years’ experience across retail, wholesale and institutional channels Rob will provide great insight into a day in the life of a trade.
Professional Standards CPD Area: Regulatory compliance and consumer protection 1.0 hour | Technical competence 1.0 hour
ASIC Knowledge Area: Generic knowledge 2.0 hours
A day in the life of a trade workshop
Non-Member: $200.00
Organisation Member: $150.00
Student Affiliate Member: $50.00
Ethical scenarios for PY candidates – Members only webinar
Wednesday 25 October 1.00-2.00pm
Hear from a panel of three experts discussing how to assist PY candidates demonstrate their ability to resolve ethical issues in an appropriate way by identifying and resolving at least two dilemmas relevant to practice. They will discuss the context for these obligations on the PY candidate and how they are intended to show the application of professional values and attitudes, as well as the need for a structured framework to give life to these obligations. The panel will present ethical dilemmas and what they would be looking for in any response from a PY candidate. Designed for PY candidates, their supervisors, compliance and HR teams, the webinar is also an opportunity for PY candidates from member firms to forge connections with their peers.
Sally Bridgland, Client Experience & Professional Development Manager, JBWere
Sally Bridgland is an Executive Director at JBWere, focussed on a client first culture, including delivery of advice career pathways. With 17 years’ experience in the finance industry, Sally has experience across operational, regulatory, systems and staffing facets of financial advice. Sally is a co-chair of the JBWere Executive Director’s and member of the JBWere Inclusion & Diversity Council.
Hamish Dee, Director – Market Operations, Morgans Financial Ltd
Hamish Dee has over 20 years’ experience of working in the stockbroking industry. Hamish joined Morgans Financial Ltd in 2003, then known as ABN AMRO Morgans Limited, and in 2006 became a director responsible for overseeing equity derivatives, market operations and compliance within the organisation. Hamish is also a director of the Morgans Foundation and a member of the SIAA Derivatives Sub-committee.
Melissa Nolan, Senior Compliance Manager, Ord Minnett Limited
Melissa Nolan has over 35 years of experience in compliance, operations and management in financial services and stockbroking. As Senior Compliance Manager Melissa’s focus is on corporate governance and ethics, with particular regard to compliance activities and regulatory risk. Melissa engages with a broad range of stakeholders both internal and external.
Professional Standards CPD Area: 1.0 Professionalism and ethics
ASIC RG146: 1.0 Generic Knowledge
Webinar - Members only
Organisation Member: $0.00
Student Affiliate Member: $0.00
Netwealth 2023 AdviceTech: Humans with machine
Wednesday 8 November 1.00-2.00pm
Netwealth’s Andrew Braun will explore how machines can supercharge human productivity and the client experience, with a close look at current and emerging technologies. He will do a deep dive in how you can introduce artificial intelligence into your practice, with a discussion on the practical applications that are available right now, spanning everything from marketing, customer management and compliance. Andrew will also investigate the role that data plays in maximising business effectiveness and how client portals are the machine to provide an always-on advice experience.
Andrew Braun, General Manager Marketing, netwealth
Andrew Braun is a digital pioneer having worked in a number of successful start-ups as well as digital business units of some of Australia’s largest corporates. His roles over the past 15+ years in product development, digital strategy and more traditional sales and marketing functions have provided Andrew with a well-rounded background that combines business experiences with deep technology knowledge to create new and meaningful outcomes. Andrew joined netwealth in 2013 and works closely with the IT teams to support best-practice UI and UX for netwealth’s software.
Professional Standards CPD Area: Technical competence 1.0 hour
ASIC Knowledge Area: Generic knowledge 1.0 hour
Webinar - Netwealth 2023 AdviceTech: Humans with machine
Non-Member: $75.00
Organisation Member: $0.00
Student Affiliate Member: $0.00
Bridging the intergenerational advice divide
Wednesday 15 November 1.00-2.00pm
Recent HSBC research shows that the vast majority (96%) of advisers feel taking an intergenerational approach is important. However, only just over a third (35%) have met the client’s children and only 30% have discussed the financial plans with them. moneyGPS is an Australian FinTech that has created digitally enabled, fully client-led personal advice capability, i.e. no adviser required. Their technology covers: BID, strategy, product recommendations and where required – digital implementation, and also offer a hybrid-human support service. moneyGPS will demonstrate how technology is currently used to successfully engage and nurture clients who are in a wealth creation stage/children of HNW clients – via a compliant and effective process which enhances the value proposition of an investment advice business.
George Haramis, CEO & Co-Founder, accountantsGPS & moneyGPS
George Haramis has 35 years financial services experience in senior executive roles, managing some of the country’s largest and most successful financial advisory business, including; Perpetual Private Clients, Head of Advice & Investments at ANZ Private Bank. Prior to Co-Founding the Australian Fintech Fiduciary Financial Group Pty Ltd (trading as moneyGPS & accountantsGPS), George established his own advice business and partnered with 35 accounting practices who were all licenced to his AFSL for the delivery of SMSF Advice. The groundbreaking digital advice platform, moneyGPS, supports individual client needs by offering a hybrid digital advice solution. This is achieved by combining artificial intelligence and human expertise to plot tailored financial roadmaps.
Aaron Williamson, Head of Digital, moneyGPS
While Aaron Williamson can’t boast about 30 years’ experience, he certainly has targeted experience and youth on his side. Known as the ‘whizz kid’ by the rest of the team, he has combined his passion for all things tech with his background in law and financial advice. Aaron’s vision for moneyGPS is to make financial advice accessible to anyone, anytime, anywhere by rethinking the industry’s relationship with technology.
Professional Standards CPD Area: Technical competence 1.0 hour
ASIC Knowledge Area: Generic knowledge 1.0 hour
Webinar - Bridging the intergenerational advice divide
Non-Member: $75.00
Organisation Member: $0.00
Student Affiliate Member: $0.00
The Client File
Thursday 23 November 1.00-2.00pm
Something that should be relatively unambiguous is often the source of plenty of debate when licensees are looking at historical matters and responding to requests for “Client Files”. This topic can come about when responding to a complaint; preparing for the resolution of a systemic failure; a request for a file from a regulator; responding to an AFCA matter or a request from another licensee for a client’s advice file if they have transferred to a new client. In this session James Dickson will outline what needs to be included in the retail client file.
James Dickson, CEO, Oceanic Consulting Group
Over his two decades of financial services experience, James has started, acquired, divested, closed and led large scale cash equity and derivatives businesses, managed and advised on complex post-acquisition integration and benefits realisation strategies in banking and wealth management businesses and has spent the last eight years leading the largest remediation programs in Australia, establishing himself and Oceanic Consulting Group (OCG) as leaders in the space. Since founding OCG, James has advised a number of leading Australian institutions on complex issues.
Professional standards CPD: 0.5 Client care and practice | 0.5 Regulatory compliance and consumer protection
ASIC RG146: 1.0 Generic Knowledge
Webinar - The Client File
Non-Member: $75.00
Organisation Member: $0.00
Student Affiliate Member: $0.00
If you experience any difficulty with your online registration, please call our office on (02) 8080 3200.
Supporters
Thanks to the following organisations who are supporting SIAA’s webinar program during 2022.
For more information
Email education@stockbrokers.org.au
Telephone 02 8080 3200