Handling Client Monies – Understanding the rules and avoiding the traps

19 Feb. 2025

Topical Webinars

David Court
Partner
Handling Client Monies – Understanding the rules and avoiding the traps

One of your key obligations as a licensee is to handle client monies in accordance with the regulatory requirements. It can be difficult to identify exactly what is client money and what can and can’t be done with it. In this webinar, we’ll take you through the requirements of this obligation so you don’t get yourself in hot water with the regulator.

What's covered

  • The basics
  • Identifying client money
  • Rules on holding and releasing client money
  • The do’s and don'ts of investing client monies (piggy bank image)
  • The special rules for wholesale clients
  • Special considerations for CFD issuers (margining, reporting to ASIC)

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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