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Finance Broking Australia-regulatory guide 241 electronic trading

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Regulatory Guide 241 - Electronic trading CPD

This guide is for market participants of the markets operated by ASX Limited (ASX) and Chi-X Australia Pty Ltd (Chi-X) that use or intend to use their systems for automated order processing (AOP).

It gives guidance on how ASX and Chi-X market participants can comply with their obligations under ASIC market integrity rules that apply to the use of AOP.

Note: This guidance applies from May 2014. It reflects the ASIC market integrity rules as amended by the ASIC Market Integrity Rules (ASX Market) Amendment 2012 (No. 3) and ASIC Market Integrity Rules (Chi-X Australia Market) Amendment 2012 (No. 3), which commence in May 2014.

RG 241 contains guidance on how a market participant can comply with the automated order processing (AOP) obligations in the ASIC Market Integrity Rules (ASX Market) 2010 and the ASIC Market Integrity Rules (Chi-X Australia Market) 2011. It contains new guidance and where appropriate incorporates aspects of ASX Guidance Notes 19, 21 and 22. Those ASX guidance notes are superseded by this regulatory guide.

 

COURSE DELIVERY OPTIONS:

Online

 

COURSE REQUIREMENTS:

For the online delivery option, you will need to have access to a computer with an internet connection.

 

COURSE DURATION:

Your enrolment is valid for a period of twelve months.

 

ASSESSMENTS:

1 online multi-choice assessment

 

ADDITIONAL INFORMATION:

CPD Hours - 1

 

 

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Contacts

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    Newport, VIC 3015

    Phone: + 61 3 9391 3643
    Fax: + 61 3 9391 3903
    Email: info@aamctraining.edu.au

System Requirements

  • What computer and software will be needed?
    • Windows XP or Linux based computer with internet connection.
    •  Internet Explorer 8.0 and above OR Mozilla Firefox
    •  Quick Time Player 4 and above
    •  Acrobat reader 6 and above
    •  Adobe Flash Player
    Download speeds
    •  Min 2 Mbps or above speed is required for running video