Derivatives Compliance Forum – 23 February 2022

23 Feb. 2022

Industry Forums

Paul Derham
Managing Partner
Michael Mavromatis
Partner
Derivatives Compliance Forum – 23 February 2022

Welcome to our 1st Derivatives Compliance Forum (previously called the CFDs Compliance Forum) of 2022!

We have once again renamed the forum because increasingly there are other providers in the market providing CFD-like derivatives to retail clients, including DeFi-style derivatives, and derivatives that are wholly traded in digital asset (crypto) markets.  Our focus will continue to be on AFSL, AML/CTF and ASIC regulatory issues.

This forum is for compliance officers, directors and responsible managers of OTC derivative and CFD issuers.  The purpose of the forum is for members in the industry to share knowledge, discuss industry and regulatory developments, and to raise and address issues that other members may be facing.

AGENDA

  1. ASIC Updates
  2. Implementation of October 2021 reforms.  How are you faring?
  3. Digital asset reform and regulation update
  4. DDO compliance for CFD providers
  5. How are CFD providers tracking with other October reforms
  6. PI insurance
  7. PIO extension
  8. Fiat to digital asset conversion

Non-Subscriber Price

Price: $125

GST: $12.50

$137.50 inc GST

CPD Details

1.0 hours

Categories:

  • Regulatory Compliance and Consumer Protection

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