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SDIA Launches SDIA Professional Program |
 The Securities and Derivatives Industry Association (SDIA) today launched the SDIA Professional Program, Australia’s only professional qualification in stockbroking, securities & derivatives.
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SDIA / AUSTRAC Education Seminars |
 SDIA / AUSTRAC Education Seminars – 1CPD (Compliance)
SDIA and the Australian Transaction Reports and Analysis Centre (AUSTRAC) are pleased to announce a series of education and awareness seminars on the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act) and its implications on the securities and derivatives industry.
This is an excellent opportunity for frontline, operational, corporate education, compliance and relationship management staff to hear directly from the regulator regarding how Australia’s AML/CTF legislation impacts on their work. SDIA will award 1 CPD Hour (Compliance). There is no cost to attend.
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SDIA Refutes Rampant Insider Trading 21 Feb 08 |
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The Securities & Derivatives Industry Association would like to respond to claims by certain commentators on the issue of insider trading in the Australian market.
The assertion that there is a high level of insider trading in this country that is out of the reach of regulators is simply not borne out by the figures or reality. For example, in the 2007 financial year, there were 60,000,000 equity market transactions on ASX. During that year, ASX made 34 referrals of matters of concern in relation to insider trading to ASIC. This hardly suggests a market awash with insider trading.
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Workshop on ASX Operating Rules – Melbourne |
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Understanding Participant obligations under the ASX Operating Rules – this ASX workshop is for compliance professionals and team leaders with designated responsibilities under the Operating Rules, particularly those who are new to the role or need a refresher course.
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FICS / FOS changes & FSG reissue |
 From 1 July 2008, the Banking and Financial Services Ombudsman, Financial Industry Complaints Service and Insurance Ombudsman Service will consolidate their operations to form a national Financial Ombudsman Service (FOS). One consequence of the creation of FOS is that references to BFSO, FICS or IOS in existing PDSs, FSGs and other brochures will not be accurate.
Rather than require the printing of new disclosure documents to accommodate this change, FICS has, after discussions with ASIC, applied to ASIC for relief,
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