Derivatives Compliance Forum – 30 November 2022

30 Nov. 2022

Industry Forums

Jesse Vermiglio
Partner
Paul Derham
Managing Partner
Michael Mavromatis
Partner
Derivatives Compliance Forum – 30 November 2022

Welcome to our last Derivatives Compliance Forum of 2022!

As a reminder, this forum is for compliance officers, directors and responsible managers of OTC derivatives 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. Breach Reporting
  3. Arranging and PIO issues
  4. Licensee reviews – common themes
  5. Trends – equities and crypto trading
  6. Trends – house money in the trust account?
  7. Class action updates

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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