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Compliance Breakfasts |
 Following the success of the Compliance Breakfasts at the national SDIA Conference each year, SDIA with the kind support of Blake Dawson, held one-off Compliance Breakfasts in October in Melbourne and Sydney.
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Credit Reform |
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Following on from the Green Paper consultation earlier in 2008, the Government has announced its plans for National Consumer Credit.
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Short Selling |
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Throughout October, SDIA has been in continuous liaison with ASIC on issues flowing from the ban on naked and covered short selling. As members will be aware, the ban on naked and covered short sales was extended by ASIC on 21 October, and is now to continue in force until 18 November 2008 in respect of non-financial securities and 27 January 2009 in respect of financial securities. SDIA has made representations to ASIC on issues of no-action relief and carve outs from the scope of the ban. This has included relief in respect of short selling in connection with client facilitation, dual listed stock arbitrage and executive share option schemes.
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Client Insolvency Issues |
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In times like the present, members should be alert to the potential for an increase in client insolvencies. It might be a prudent precaution for brokers to carry out an audit of their client documentation, particularly in relation to major clients, to ensure that copies of all relevant documentation are held, that the documentation is in order and that client agreements are effective.
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Options Fundamentals Workshop – 2 CPD |
 Suitable for industry participants, including client advisers and back office staff, who have no previous options experience and who wish to acquire some understanding of options trading.
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SDIA CFD Accreditation |
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On completion of SDIA CFD Accreditation, you will be certified by the SDIA as a professional who has completed an education program in order to advise on CFD products.
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