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.
Introduction to stockbroking Workshop
Thursday 9 October from 11.00-1.15pm AEDT
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 MSIAA
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: 1.0 Regulatory compliance and consumer protection | 0.5 Technical competence | 0.5 Professionalism and ethics
ASIC RG146: 2.0 Generic Knowledge
Introduction to Stockbroking Workshop
Student Affiliate Member: $55.00
Organisation Member: $150.00
Non-Member: $200.00
Member-Practitioner: $100.00
A day in the life of a trade Workshop
Tuesday 21 October from 11.00-12.30pm AEDT
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 14 October and receive a $50pp discount. Email [email protected] to register four or more.
A day in the life of a trade workshop
Student Affiliate Member: $55.00
Organisation Member: $150.00
Non-Member: $200.00
Member-Practitioner: $100.00
Demystifying managed accounts: Spotlight on SMAs
Wednesday 22 October from 1.00 to 2.00pm AEDT
Stuart Holdsworth will provide a broad overview of the various types of managed accounts before focusing on Separately Managed Accounts (SMAs). He will explore the key features that make SMAs attractive, including transparency, tax efficiency, customisation, and direct ownership of underlying assets. Ideal for advisers seeking a deeper understanding of how SMAs work and where they may best suit clients’ investment objectives.
Stuart Holdsworth, Founder, Financial Simplicity
With a background of over 30 years in mathematics and investment industry systems and operations, Stuart Holdsworth set up Financial Simplicity over a decade ago with the sole focus of technology enabled control systems to help wealth managers be able to deliver fully personalised investment propositions to the clients with scale and compliance. Stuart is a passionate believer that fully personalised investment propositions are a key part of the future of wealth and investment management.
Professional standards CPD: 1.0 Technical competence
ASIC RG146: 1.0 Generic knowledge
Webinar – Demystifying managed accounts: Spotlight on SMAs
Organisation Member: $0.00
Non-Member: $75.00
Member-Practitioner: $0.00
Market manipulation and other prohibited conduct workshop
Thursday 23 October from 10.00-12.30pm AEDT
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: 1.25 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 16 October and receive a $50pp discount. Email [email protected] to register four or more.
Market Manipulation & Other Prohibited Conduct Workshop
Student Affiliate Member: $50.00
Organisation Member: $150.00
Non-Member: $200.00
Member-Practitioner: $100.00
DTR refresher workshop – Equities market structure update for DTRs & sales traders
Wednesday 29 October from 11.00-12.30pm AEDT
The ASX has recently implemented some of the biggest changes to the Australian Equity Market Structure in over 30 years. Rob will outline step by step how those changes have impacted price discovery and liquidity formation across the trading day and discuss the implications relevant for both buy and sell side trading desks.
Rob Nash
Rob brings 35 years of experience from a range of roles across the financial services industry. Most recently, Rob was Head of Equities Relationship Management for seven years at the ASX where he covered a range of institutional buy & sell side clients.
Rob’s investment banking career spans firms UBS, JP Morgan and Credit Suisse in a range of Equity Sales & Sales Trading roles. In funds management, Rob has worked in a portfolio management and trading roles for some of Australia’s largest equity fund managers.
Professional Standards CPD Area: 0.75 Regulatory compliance and consumer protection | 0.75 Technical competence
ASIC RG146: 1.5 Generic Knowledge
Register four or more (Organisation Member or Non-member) by Wednesday 22 October and receive a $50pp discount. Email [email protected] to register four or more.
DTR refresher workshop-Equities Market Structure Update for DTRs & Sales Traders
Student Affiliate Member: $55.00
Organisation Member: $150.00
Non-Member: $200.00
Member-Practitioner: $100.00
Unlocking managed account for scalable holistic advice
Wednesday 12 November 1.00 to 2.00pm AEDT
Praemium’s General Manager Distribution Matt Walsh will discuss the latest research from CoreData on how HNW advisers are leveraging managed accounts to transition to holistic advice and meet the shifting expectations of HNW clients. Attendees will learn how managed accounts drive efficiency, scalability, and profitability, saving advisers up to a full workday per week and enabling deeper client engagement. Matt will unpack the changing role of advisers, the technology enablers required for transformation, and the importance of scaling personalised advice in the face of intergenerational wealth transfer.
Matt Walsh, General Manager Distribution, Praemium
Matt has extensive experience in working with the HNW advisory market and has worked with family offices, wealth management executives, brokers and advisers to gain a rich understanding about their business needs and how platform and investment solutions can support both client needs and market demands. In his 20-year career in financial services, he has worked at Bell Potter, Goldman Sachs JBWere and in the UK at Bennelong Asset Management and GLG Partners which are part of the Man Group.
Professional standards CPD: 1.0 Technical competence
ASIC RG146: 1.0 Generic knowledge
Webinar – Unlocking managed account for scalable holistic advice
Organisation Member: $0.00
Non-Member: $75.00
Member-Practitioner: $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 2025.