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Event Details

A Day in the Life of a Trade March Workshop - Melbourne
28-Mar-2019
Time
1:30pm – 4:30pm

Price
Member - $330

CPD
3 hours

The Stockbrokers And Financial Advisers Association and its CPD Partner, FINSIA, invite you to attend an industry leading workshop A Day in the Life of a Trade.

A Day in the Life of a Trade is a 3 hour short course in operations that focuses on the evolution of share and derivative trades from order placement through to execution to settlement (and later exercise/expiry where relevant) and reporting requirements.

This dynamic workshop provides a comprehensive overview of the market and operational process and is an excellent foundation for retail desk assistants. It would also ideally suit as a refresher for experienced staff as well as those staff who support the stockbroking and financial advising industry eg. Legal, IT, HR and other.

What attendees with learn
The workshop covers the operations process. Attendees will walk away with a solid understanding of the following:

  • Client onboarding processes
  • The process of share and derivative trades from order placement through to execution to settlement
  • Sponsorship/HINs, deceased estates
  • CHESS messaging and settlement processing
  • Paper transfers
  • Registries
  • Short sales reporting requirements
Participants will also learn about who regulates the industry and what they do, and the obligations of Licence holders. Market manipulation and other prohibited conduct, as well as insider trading will also be discussed.

Who should attend the workshop
Any new or unfamiliar starters to the Industry or Markets would benefit greatly from attending this workshop. It will also benefit those who have not had any direct industry experience. The Stockbrokers And Financial Advisers Association has run this workshop for market professionals in both front and back office, including compliance and stockbroking sales staff/client representatives/advisors, Proprietary Traders, DTRs, Investment banking staff, settlement staff, and compliance & legal teams.