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.
AI and Compliance—Navigating new guidelines
Wednesday 12 February from 1.00 to 2.00pm AEDT
Explore the intersection of AI and regulatory compliance in this webinar. Sonia Haque-Vatcher and Elizabeth Hristoforidis, Partners and Leon Franklin, Director from Ashurst, will delve into ASIC’s Report 798 and the OAIC’s latest AI privacy compliance guidance, addressing how businesses can adapt policies and procedures to meet evolving standards. Topics include managing AI risks, ensuring ethical practices, and aligning with privacy obligations. Designed for compliance professionals, this session provides practical insights into integrating AI responsibly within your organisation.
Leon Franklin, Director Risk Advisory, Ashurst
Leon is a strategic and operational privacy expert with a comprehensive understanding of privacy, data, legal and compliance issues. He has worked for large, complex organisations in the private and public sector and brings a commercial focus to privacy risk. Leon has specific experience with the risk assessment and deployment of AI for both internal and external purposes in large Australian corporates. He is currently advising ASX 20 companies on how the most recent guidance from the OAIC applies to day-to-day use of automation and AI in the workplace and how, when, and where to safely deploy AI and automated decision making in a commercial context.
Sonia Haque-Vatcher, Partner Risk Advisory, Ashurst
Sonia has over 20 years global experience leading large-scale transformation in complex environments, driving significant change and innovation through data, AI, and technology, with a background in industry and (Big 4) consulting. Prior to joining Ashurst, Sonia was a senior executive at the Commonwealth Bank of Australia (CBA) leading a global team of data, analytics and decision science professionals to deliver world-class analytical and artificial intelligence (AI) across Cyber, Fraud, Financial Crime, Risk, Complaints, Payments, Technology and Group Operations.
Elizabeth Hristoforidis, Partner Risk Advisory, Ashurst
Before joining Ashurst Risk Advisory, Liz spent nearly two decades at ASIC, shaping law reform, operational readiness, and guidance, particularly in banking, superannuation, and wealth management, including a secondment to Macquarie Group. She brings a unique regulatory perspective from her supervisory experience. Liz is a Director of Diversity Council Australia and Chair of its Finance, Audit and Risk Committee, as well as a Director of KU Children’s Services and Chair of the KU Marcia Burgess Foundation Committee.
Professional standards CPD: 1.0 Professionalism and ethics
ASIC RG146: 1.0 Generic Knowledge
Webinar – AI and Compliance—Navigating new guidelines
Member-Young Professional: $0.00
Non-Member: $75.00
Organisation Member: $0.00
Student Affiliate Member: $0.00
Understanding the importance of risk and returns to optimise portfolio strategy
Wednesday 26 February from 1.00 to 2.00pm AEDT
Effective risk management is more critical than ever in portfolio strategy. Join Doug Morris, CEO of Sharesight, to explore how advisers can optimise risk and returns with Sharesight’s tools. Discover practical approaches to asset allocation, assess portfolio risks, and understand key metrics like drawdown risk and Return on Max Drawdown (RoMad). Using Sharesight’s platform, this session offers actionable insights to guide clients, refine strategies, and improve portfolio outcomes.
Doug Morris, Chief Executive Officer, Sharesight
Doug is a prominent figure in Australasian FinTech and SaaS. Starting at Morningstar in Chicago, he held roles in project management and business development, later relocating to Sydney to expand adviser and institutional business lines. Doug also served as Product Manager for the Adviser Research Centre and as Global Product and Marketing Manager for Equity and Credit Research. He joined Sharesight as General Manager in 2013 and became CEO in 2015.
Professional standards CPD: 1.0 Technical competence
ASIC RG146: 1.0 Generic Knowledge
Webinar – Understanding the importance of risk and returns to optimise portfolio strategy
Member-Young Professional: $0.00
Non-Member: $75.00
Organisation Member: $0.00
Student Affiliate Member: $0.00
Introduction to stockbroking Workshop
Tuesday 4 March 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 2.25 hour 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.
Professional standards CPD: 1.0 Regulatory compliance and consumer protection | 0.5 Technical competence | 0.5 Professionalism and ethics
ASIC RG146: 2.0 Generic Knowledge
Register four or more (Organisation Member or Non-member) by Tuesday 25 February and receive a $50pp discount. Email [email protected] to register four or more.
Introduction to Stockbroking Workshop
Member-Young Professional: $55.00
Non-Member: $200.00
Organisation Member: $150.00
Student Affiliate Member: $55.00
Market manipulation and other prohibited conduct workshop
Thursday 6 March 10.00-12.30pm
This 2.5 hour 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: 1.25 Regulatory compliance and consumer protection | 1.0 Professionalism and ethics
ASIC RG146: 2.25 Generic Knowledge
Register four or more (Organisation Member or Non-member) by Thursday 27 February and receive a $50pp discount. Email [email protected] to register four or more.
Market Manipulation & Other Prohibited Conduct Workshop
Member-Young Professional: $55.00
Non-Member: $200.00
Organisation Member: $150.00
Student Affiliate Member: $55.00
A day in the life of a trade Workshop
Tuesday 11 March from 11.00-12.30pm
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 to 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 0.75 hour | Technical competence 0.75 hour
ASIC Knowledge Area: Generic knowledge 1.5 hours
Register four or more (Organisation Member or Non-member) by Tuesday 4 March and receive a $50pp discount. Email [email protected] to register four or more.
A day in the life of a trade workshop
Member-Young Professional: $55.00
Non-Member: $200.00
Organisation Member: $150.00
Student Affiliate Member: $50.00
Revolutionising managed accounts: Insights from industry leaders
Wednesday 12 March from 1.00 to 2.00pm AEDT
As the managed account market continues to grow, technology is playing a pivotal role in enabling advisers to expand their managed account offering and do more with greater efficiency. Join Andy Robertson from Chelmer and Toby Potter from Philo Capital Advisers, along with Leanne Bradley from Suite2Go, to explore the advantages of managed accounts for investors and wealth advisers and discover how technology is addressing common challenges in portfolio rebalancing, compliance and reporting.
Andy Robertson, Director & Chief Innovation Officer, Chelmer
Andy’s career has been in financial markets and financial services with a technology focus. Committed to providing elegant solutions, Andy has been a Director on Chelmer’s Board for over 24 years and was previously CEO for 18 years. With a focus on shaping the future of investing and wealth management, Andy plays a vital role in setting the product direction for Chelmer’s wealth technology platform, Myriad, looking at opportunities and working with fintech businesses.
Toby Potter, Director, Philo Capital Advisers
Toby is one of Australia’s most experienced and successful managed account executives. Prior to joining Philo, Toby was responsible for platform strategy and managed accounts at IOOF where he designed and implemented managed account programs tailored to the needs of different AFSL holders in that group. Toby is a strong advocate for all forms of managed accounts and is the Chair of the Institute of Managed Account Professionals (IMAP).
Leanne Bradley, Co-CEO, Suite2Go (Moderator)
Leanne has over 20 years’ experience as a financial services professional, specialising in asset management, superannuation and wealth management fintech. Leadership positions with BT Investment Management (now Pendal/Perpetual), Deutsche Asset Management, Aberdeen, and AMP Capital which has given Leanne the perspective of how to transform investment management processes from the top down.
Professional standards CPD: 1.0 Technical competence
ASIC RG146: 1.0 Generic Knowledge
Webinar – Revolutionising managed accounts: Insights from industry leaders
Member-Young Professional: $0.00
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 2024.