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.
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 Service 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 Service 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.
For more information
Email education@stockbrokers.org.au
Telephone 02 8080 3200