This half-day workshop gives a refresher on the requirements applicable to Responsible Executives, including the August 2010 changes and goes through some of the main topics covered in The ASIC Market Integrity Rules (ASX Markets) 2010 and/or The ASX Clear Operating Rules (Clearing & Settlement), Responsible Executive Examinations, now offered as one combined exam by the Stockbrokers Association.
It is intended as a refresher for existing REs who have already passed the exam(s) but may also be of interest to potential REs. Topics include: RE Management & Supervision Requirements (& ASIC RM comparisons); Capital Adequacy, Records, Trust; Dealing & Client relations rules; Disciplinary Processes; Corporations Act requirements.
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