OTC Derivatives Compliance Forum – 25 March 2021

25 March 2021

Industry Forums

Jesse Vermiglio
Partner
Paul Derham
Managing Partner
Michael Mavromatis
Partner
OTC Derivatives Compliance Forum – 25 March 2021

This is our very first Compliance Forum for the OTC Derivatives & CFDs industry in 2021.  We hope by now you've made the changes necessary to comply with the Product Intervention Order – updating PDSs, Terms and Conditions, platform settings, promotional campaigns, and restructuring how you support offshore group entities.

This forum is for compliance officers, directors and responsible managers of CFDs and other OTC derivative issuers.

AGENDA

  1. Commencement of Product Intervention
  2. Wholesale Client Procedures
  3. General Advice vs Personal Advice (HCA decision)
  4. Other Regulatory 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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