Your free Stockbroking and Share Trading Checklist

Does your organisation understand and comply with its obligations in relation to the provision of stockbroking services to clients, including requirements under federal legislation, market integrity rules and applicable market operating rules?

Is your organisation required to hold an Australian financial services (AFS) licence, and does it understand and comply with its obligations as an AFS licensee or an authorised representative of an AFS licensee (as applicable)?

Authored in partnership with Douglas Gration, Barrister at List G Barristers and Legal Expert for LexisNexis® Regulatory Compliance, this checklist has been designed to help you identify your compliance requirements related to stockbroking and share trading in Australia.

This checklist covers compliance requirements related to Conduct Obligations Relating to the Issue, Sale and Purchase of Financial Products, Market Misconduct, Complying with the Market Integrity Rules for Securities Markets, ASX Trading, Clearing and Settlement and more.

Gain clarity on your stockbroking and share trading obligations and download the checklist today!

Fill out the form to download the checklist.