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.
A day in the life of a trade Workshop
Monday 16 September from 11.00am to 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 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 1.0 hour | Technical competence 1.0 hour
ASIC Knowledge Area: Generic knowledge 2.0 hours
Market manipulation and other prohibited conduct workshop
Tuesday 17 September 10.00am to 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
Whatever happened to the US recession?
Wednesday 25 September 1.00 to 2.00pm
In March 2023, US Federal Reserve economists were expecting “a mild recession starting later this year,” while Bloomberg termed it “the most-anticipated downturn ever.” This was a significant concern at the time. Yet, the recession didn’t eventuate, and instead, there has been a sharp rally in world equity markets. What happened? Join Maroun Younes from Fidelity International to explore this in detail.
Maroun Younes, Portfolio Manager and analyst, Fidelity International
Maroun brings 16 years of experience in investment management. He joined Fidelity as an investment analyst in 2012 and was appointed Co-Portfolio Manager for the Fidelity Global Future Leaders Fund in 2020. Over the last decade, Maroun has extensively covered sectors including telecommunications, media, technology, building and construction materials, packaging, transport, infrastructure, chemicals and steel. He previously spent six years as an investment consultant for global advisory firm Towers Watson.
Professional Standards CPD Area: Technical competence 1.0
ASIC RG146: Generic Knowledge 1.0
Webinar – Whatever happened to the US recession?
Non-Member: $75.00
Organisation Member: $0.00
Student Affiliate Member: $0.00
Saying no, so you can say yes
Wednesday 9 October from 1.00 to 2.00pm
Women do the majority of the office ‘housework’. These non-promotable tasks are a handbrake on our careers, leading to missed opportunities and burnout. In this interactive workshop, you’ll learn how to say ‘no’ professionally to protect your time for more strategic work. You’ll leave with small, tangible actions to apply to your own career.
Natalie Ferguson, Co-founder, Powrsuit
Natalie caught the entrepreneurial bug at university, and embarked on her first venture at 19. Twenty years on, Nat has experienced multiple successful exits, a few painful failures, and everything in between. Before it was acquired in 2021, she co-founded and grew Hatch into a thriving wealth platform with nearly 200,000 investors. Now, she’s on a mission to close the gender leadership gap with Powrsuit.
Kristen Lunman, Co-founder, Powrsuit
From a family of entrepreneurs, Kristen is attracted to challenging the status quo. Her startup journey in New Zealand started with Wipster, a video SaaS solution. Until 2021, she was the co-founder and CEO of Hatch, an investing platform. More recently, she is one half of the dynamic duo behind Powrsuit – a career accelerator for women on the way up. When she does have spare time, it’s spent with her family on the sidelines or a surfboard.
Professional Standards CPD Area: Professionalism and ethics 1.0
ASIC Knowledge Area: Generic knowledge 1.0 hour
Webinar – Saying no, so you can say yes
Non-Member: $75.00
Organisation Member: $0.00
Student Affiliate Member: $0.00
Generating income with index-based strategies
Wednesday 23 October from 1.00 to 2.00pm
Jason Ye will discuss index-based strategies for income seekers, analysing various dividend and options indices, in a multi-asset portfolio. Learn how these strategies may enhance portfolio yield and manage risk in this essential webinar for optimising income-generating investments.
Jason Ye, Director, Factors and Thematics Indices, S&P Dow Jones Indices
In this role, Jason works closely with the Sales, Marketing and Global Research & Design departments to bring new ideas to market. Prior to his current role, Jason was a Senior Associate at Dimensional Fund Advisors’ Research Group, where he worked with global investors on research and design of factor-based equity strategies. Jason started his investment career with Microsoft’s Capital Markets team, which managed the firm’s internal equity strategies.
Professional Standards CPD Area: Technical competence 1.0
ASIC RG146: Generic Knowledge 1.0
Webinar – Generating income with index-based strategies
Non-Member: $75.00
Organisation Member: $0.00
Student Affiliate Member: $0.00
An update on AML/CTF rules
Wednesday 27 November from 1.00 to 2.00pm
In this session Hong-Viet Nguyen and Corey McHattan will explore the recent and upcoming changes to Anti-Money Laundering (AML) and Counter Terrorism Financing (CTF) practices in Australia. This session will cover key legislative updates, their impact on financial institutions, and practical steps to ensure compliance. Gain insights into how these changes affect risk management and operational procedures within the industry.
Corey McHattan, Partner, Ashurst
Corey is a highly experienced regulatory lawyer, specialising in the areas of financial services regulatory advice, structured products, market infrastructure and regulatory investigations and enforcement. Corey’s primary clients include leading investment banks, trading banks, and other financial institutions whom he advises on matters involving financial services regulation in areas such as the issue of retail and wholesale structured products, ASX participation issues, regulatory investigations, compliance queries, general commercial matters and mergers and acquisitions in the financial services sector.
Hong-Viet Nguyen, Partner, Ashurst
Hong-Viet Nguyen is a partner in the Financial Regulation Practice and specialises in consumer credit and the associated areas of financial crime, privacy law and consumer protection, as well as more broadly in financial services regulation. Her clients include a number of major banks and other corporates. Before joining Ashurst, she was a partner at another law firm in Australia.
Professional Standards CPD Area: Regulatory compliance and consumer protection 1.0
ASIC RG146: Generic Knowledge 1.0
Webinar – An update on AML/CTF rules
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.