This four-hour (4 hours in total) gives a refresher on the requirements applicable to Responsible Executives, including changes covering some of the main topics covered in The ASIC Market Integrity Rules (Securities Markets) and the ASX Clear Operating Rules (Clearing & Settlement).
Attendees will walk away with a solid understanding of the following:
- RE Management & Supervision Requirements (& ASIC RM comparisons)
- Capital Adequacy, Records and Trust
- Dealing & Client relations rules
- Disciplinary Processes
- Corporations Act Requirements
Who should attend the course?
The course is intended as a refresher for existing REs who have already passed the exam(s) but may also be of interest to potential REs.
Is there any assumed pre-requisite knowledge for attendees?
There is no assumed knowledge for participants of this course.
FASEA CPD Areas 4.0 hours:
2.0 hour Regulatory compliance and consumer protection
2.0 hour Technical competence
ASIC Knowledge Requirements
4.0 hours Generic knowledge
For more information
Telephone 02 8080 3200
See CPD Calendar for other upcoming CPD Workshops