Market manipulation and other prohibited conduct workshop
Tuesday 20 October from 11.00-1.30pm 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.
Legislated CPD: 1.25 Regulatory compliance and consumer protection | 1.0 Professionalism and ethics
Knowledge Area: 2.25 Generic Knowledge
Market Manipulation & Other Prohibited Conduct 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
Wednesday 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.
Legislated CPD: 0.75 Regulatory compliance and consumer protection | 0.75 Technical competence
Knowledge Area: 1.5 Generic Knowledge
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
Introducing TMX Australia Exchange
Wednesday 21 October from 1.00-2.00pm AEDT
Following TMX Group’s acquisition and rebranding of Cboe Australia, TMX Australia Exchange is preparing for its next phase of growth. This session will provide market participants and stakeholders with insights into TMX’s strategic vision for Australia, including the technology roadmap, system migration timelines and operational changes. Hear practical guidance on preparing for the transition across technology, operations and compliance, and explore future opportunities as TMX Australia Exchange evolves its market offering.
Geoff Williams, Project Manager, TMX Australia Exchange
Geoff Williams is a Project Manager at TMX Australia Exchange (formerly Cboe Australia), specialising in trading systems, market infrastructure and exchange platforms. With experience across equities, FX, fixed income and derivatives, he leads complex projects from initiation to go-live. His background includes leadership roles at Nasdaq and consulting with ICAP. Geoff brings expertise in governance, risk management and project delivery frameworks, supported by a business information management degree and PMP and Scrum Master certifications.
John Williams, Director, Australian Equity Operations, TMX Australia Exchange
John Williams is Director, Australian Equity Operations at TMX Australia Exchange (formerly Cboe Australia), based in Sydney. He leads client-facing operations, bringing expertise across market data, trading services, listings and issuer operations. John has held leadership roles across Australian exchange operators and contributed to trading platform migrations and technology upgrades. His client-focused, data-driven approach supports innovative solutions that strengthen client experience, improve market access and drive adoption across the Australian equities ecosystem.
Legislated CPD: 1.0 Technical competence
Knowledge Area: 1.0 Generic Knowledge
Webinar – Introducing TMX Australia Exchange
Student Affiliate Member: $0.00
Organisation Member: $0.00
Non-Member: $75.00
Member-Practitioner: $0.00
The future of stockbroking and private wealth
Wednesday 28 October from 1.00-2.00pm AEDT
Discussion will cover why the economics of pure execution are quietly breaking down and what’s rising to replace them, the demographic tailwind reshaping who holds the wealth and who’s positioned to advise on it, and trust as the real asset defining who wins the intergenerational transfer of wealth. Peter Foster and Andrew Inwood will also address the platform and technology consolidation setting the ceiling on what firms can offer for the next decade, the strategic choice facing every firm between transaction only, pure advice or a hybrid of the two, and the talent and succession challenge firms need to focus on. Insights are based on new Netwealth and CoreData industry research.
Peter Foster, Sales Director, Netwealth
With more than 20 years’ experience in financial services, Peter has built his career across equity markets, institutional sales and wealth solutions. He began his career at Macquarie Bank before holding senior sales and distribution roles across St George Bank, Westpac Institutional Bank, Specialist Equity Lending and Kennedy Partners. Peter works closely with stockbroking and wealth management firms, helping them evolve their business models and deliver better outcomes for clients through technology, administration and wealth solutions.
Andrew Inwood, Global CEO, CoreData
Andrew is the founder and principal of CoreData and has more than 30 years’ experience in financial services. He began his career at Rothschild Australia Asset Management before spending over a decade at AMP Investments, including a secondment to Virgin Direct in the UK. He later held senior roles at Wizard Home Loans and Telstra before establishing CoreData, which now operates internationally. Andrew has authored more than 50 major research papers and is a respected keynote speaker on client behaviour and experience.
Legislated CPD: 1.0 Client care & practice
Knowledge Area: 1.0 Generic Knowledge
Webinar – The future of stockbroking and private wealth
Student Affiliate Member: $0.00
Organisation Member: $0.00
Non-Member: $75.00
Member-Practitioner: $0.00
Rich decisions: An insight into the HNW investor
Wednesday 11 November from 1.00-2.00pm AEDT
Australia’s wealthy investors are changing. Wealth is growing, investment behaviours are evolving, and expectations of advice are becoming more sophisticated. Join Praemium’s Matt Walsh as he discusses new research into the preferences, priorities and decision-making of high-net-worth investors. Discover where the fastest growth is occurring, how affluent investors are positioning their portfolios, the opportunities they’re pursuing, and what they value most from advice, technology and investment solutions.
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.
Legislated CPD: 1.0 Client care & practice
Knowledge Area: 1.0 Generic Knowledge
Webinar – Rich decisions: An insight into the HNW investor
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.