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.
How the CSLR affects the industry
Wednesday 9 April from 1.00 to 2.00pm AEST
The Compensation Scheme of Last Resort (CSLR) has become a hot-button topic among advisers, with the sector bearing the brunt of the costs following the collapse of Dixon Advisory. SIAA’s Michelle Huckel will outline how the CSLR came about, why the collapse of Dixon Advisory and United Global Capital has caused so many problems, and what can be done about advisers being left with a $130m compensation bill. Michelle will step you through the impact the CSLR is having on the industry.
Michelle Huckel, Policy Manager, Stockbrokers and Investment Advisers Association
Michelle worked as lawyer specialising in financial services law, IPOs and due diligence for mergers and acquisitions, before taking up the role of legal counsel and compliance manager at Shaw Stockbroking. Michelle previously worked as a policy adviser at Governance Institute of Australia. At SIAA Michelle undertakes research and analysis for the development of advocacy initiatives, provides an early warning system of impending legislative and regulatory issues of relevance to members and represents the association externally with government, regulators and other bodies.
Professional standards CPD: 1.0 Professionalism and ethics
ASIC RG146: 1.0 Generic Knowledge
Webinar – How the CSLR affects the industry
Student Affiliate Member: $0.00
Organisation Member: $0.00
Non-Member: $75.00
Member-Practitioner: $0.00
Looking for income, potential growth and diversification for clients using LICs
Wednesday 23 April from 1.00 to 2.00pm AEST
Against a backdrop of rising market uncertainty, with bank deposit interest rates falling and changes for bank hybrids approaching, investors need to explore new strategies for stable income while maintaining portfolio diversification. Join us to hear how Listed Investment Companies (LICs) can provide solutions for advisers and clients seeking sustainable, long-term income and growth from ASX-listed LICs. Learn how these vehicles can offer more stability than direct equities or index funds, helping your clients diversify and secure consistent returns in a falling-interest-rate environment.
Ian Irvine, CEO, Listed The Listed Investment Companies & Trusts Association
With a career spanning close to 50 years, Ian has experience in sales, marketing and business development. He has worked in the financial services arena since 1986, with time at Westpac, AMP Bank and 14 years at ASX to December 2017. He has been Chief Executive of the Listed Investment Companies and Trusts Association since January 2018.
Angus Gluskie, Chairman and Managing Director, Whitefield Industrials
Launched in 1923, Whitefield Industrials Ltd is Australia’s longest listed investment company and recently celebrated 100 years in business. Angus is also Chair and Managing Director of Whitefield Income Ltd (ASX: WHI), a LIC which launched in late 2024 and Whitefield Capital Management Pty Ltd. Angus has over 35 years’ experience in the investment management and financial services fields. He is Chairman of Listed and Chief Investment Officer of the Employers Mutual Group.
Brett McNeill, Portfolio Manager, Djerriwarrh (ASX: DJW)
Brett joined the AFIC group in October 2019 as a Portfolio Manager and has over 18 years of investment experience. Prior to joining AFIC, Brett spent 14 years at Antares Capital (previously called Portfolio Partners and Aviva Investors) as a portfolio manager and analyst. Brett holds a Bachelor of Commerce (Economics) and is a CFA Charterholder.
Colin Whitehead, Investment Analyst, Argo Infrastructure (ASX: ALI)
Colin joined Argo Investments (ASX code: ARG) (Manager of Argo Infrastructure ASX: ALI) in 2012 as an investment analyst and has over 20 years of industry experience. Before joining Argo, Colin was head of research at a leading Australian equities research house. His earlier experience includes analyst roles with State Street Bank and BNP Paribas in Sydney, and prior to this with NatWest Investments and State Street Bank in London. Colin is a Chartered Financial Analyst.
Professional Standards CPD Area: 1.0 Technical competence
ASIC RG146: 1.0 Generic Knowledge
Webinar – Looking for income, potential growth and diversification for clients using LICs
Student Affiliate Member: $0.00
Organisation Member: $0.00
Non-Member: $75.00
Member-Practitioner: $0.00
AML/CTF Reforms – What it means for you
Wednesday 30 April from 1.00 to 2.00pm AEST
Recent changes to the AML/CTF Act will impact stockbrokers, following the expansion of services that will be regulated under the amended regime. Paul Derham and Keddie Waller will outline the breadth of these reforms, explore the different timelines for implementation and discuss the steps that can be taken now to begin to prepare. They will also touch on dealing with digital currencies and taking a risk-based approach. Essential for business owners, compliance professionals and AML/CTF officers within stockbroking firms who wish to stay abreast of the reforms for their business.
Paul Derham, Partner, Holley Nethercote
Since 2001 Paul Derham has been helping clients in the financial services industry to meet their legal and compliance obligations. Paul regularly assists businesses acquire their Australian Financial Services Licences (AFSL) and build robust governance systems to help them stay out of court, and out of the hands of regulators. Paul completed his Arts/Law degree with honours in law in 2004, became a solicitor in 2005 and holds a Diploma of Financial Planning.
Keddie Waller, AML/CTF Project Manager, Holley Nethercote
With nearly 25 years’ experience working in the financial services sector, Keddie is highly respected in the financial planning and accounting sectors, having spent many years with CPA Australia including as their Head of Public Practice and SME, and Senior Manager for Public Practice, Financial Planning and Ethics Policy.
Professional standards CPD: 1.0 Regulatory compliance and consumer protection
ASIC RG146: 1.0 Generic Knowledge
Webinar – AML/CTF Reforms – What it means for you
Student Affiliate Member: $0.00
Organisation Member: $0.00
Non-Member: $75.00
Member-Practitioner: $0.00
ASX Trade Services Release 15 (SR15)
Wednesday 7 May from 1.00 to 2.00pm AEST
ASX Trade Service Release 15 (SR15) will introduce several key equity market rule changes, including the removal of the opening auction stagger, replaced by a single random open time for equities and ETFs. Additionally, a new post-close trading session will be introduced, allowing participants to trade additional liquidity at the closing auction price. The release will also simplify the reporting process for block and late trades, reducing complexity. This session will provide an overview of these changes and offer participants the chance to ask questions before the go-live date on May 12.
Graham O’Brien, Head of Equity Market Sales and Equity Derivatives, ASX
Graham is a leader in the finance industry with over 20 years’ experience in equity derivatives and is a global expert on how the Australian market works. At ASX, he leads a team that innovates on products and services to drive Australian market growth and financial success for clients and companies. A skilled communicator and educator, Graham frequently delivers expert presentations for the ASX. He works closely with digital teams to mine data and produce insights that help clients, staff and the marketplace get better results.
Professional standards CPD: 1.0 Regulatory compliance and consumer protection
ASIC RG146: 1.0 Generic Knowledge
Webinar – ASX Trade Services Release 15 (SR15)
Student Affiliate Member: $0.00
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 2024.