Market Misconduct
Market Misconduct
Industry experts take you through the latest developments in market misconduct. This highly practical program uses a series of examples to tackle the issue from legal, commercial and regulatory perspectives.
Registration Options
Register by fax or email
You will need to download this registration form
-
Download fax or email registration form
PDF, 759kB
Downloads
-
Program Outline
PDF, 1138kB
Related links
Program Summary
| TITLE: | Market Misconduct |
| CE: |
2.75hrs Regulation & Compliance |
| FEE: |
Member - $429 including GST Non Member - $539 including GST |
| Sydney Sept 11, 2012 | 9:00am - 12:00pm |
About the Speaker
Alexander Morris, Partner, King & Wood Mallesons
Alexander Morris is a partner in the King & Wood Mallesons Sydney office where he specialises in corporate regulatory inquiries, litigation and commercial disputes.
Alex's practice has a particular emphasis upon matters involving the Corporations Act (principally financial services and securities regulation). He acts for listed companies and financial intermediaries in connection with ASIC and ASX investigations and administrative hearings, shareholder class actions, Takeovers Panel applications, schemes of arrangement, compulsory acquisitions and significant commercial disputes. He also advises domestic and offshore financial intermediaries on compliance with Australia's financial services and securities regulation regimes.
About this program
An expert practitioner will lead you in class discussion and interactive group activities on market misconduct. This will include what the law requires, how to meet these requirements, lessons from past court decisions and how this issue impacts businesses. You’ll delve into a collection of realistic scenarios that market participants could face and analyse the best approach and response to each. Consideration will also be given to the guidance available from the Regulator, ASIC, and the practical challenges that your organisation will encounter when developing its responses.
This course is primarily designed for front or back office practitioners in financial markets who are typically exposed to the following issues: Sales, Trading, Risk management, Settlements, Investigations. Compliance professionals can also elect to attend the program with their full team, as the content can be tailored to suit a particular firm.
What will you learn?
In this half-day workshop you'll gain insight into:
- Elements of market misconduct in licensed and OTC markets - what is prohibited?;
- Market manipulation;
- False trading and market rigging;
- False and misleading statements;
- Recent court cases; and
- Overview of AFMA Code of Ethics and Code of Conduct.
Testimonials
A very good course.
This workshop contained some very relevant content.
Good presenter. Good notes.