ASIC Compliance
In Australia, under the Corporations Act, individuals who provide financial product advice to retail clients are required to meet the minimum educational standards outlined in ASIC Regulation Guidelines 146 (RG 146).
Kaplan Professional offers a range of RG 146 Compliance Solutions catering for advice providers of all types and and at every level, from people new to the industry to responsible officers.
What we offer
The RG146 Compliance Solutions offered by Kaplan Professional are:
Tier 1 Compliance Solution
Includes a three-part course for Tier 1 financial advisers and planners to meet the requirements set out in RG146.
Tier 2 Compliance Solution
This is a two-step (study and assessment) program for financial advisers who need specialised accreditation to meet the requirements set out in RG146.
FNS50804 - Diploma of Financial Services (Financial Planning)
This qualification is tailored to meet the industry specifications of financial advisers and give you what you need to get started as a financial adviser. You’ll learn the fundamentals of financial planning and gain the practical knowledge and skills needed to provide financial advice in accordance with ASIC RG146.
Graduate Diploma of Applied Finance - The Graduate Diploma of Applied Finance, Financial Planning Major is listed on the ASIC register as meeting the RG146 requirements for
- generic knowledge
- specialist knowledge and skills in
- financial planning
- general insurance
- personal insurance
- insurance broking
- superannuation
- managed investments
- securities.
Alternative offerings
RG146 Assessment and Gap Training Program
Developed to assess advisers on the knowledge and skills requirements of RG146, taking into account their specific areas of responsibility, with the intention of filling any gaps and enabling them to achieve compliance.
RG146 Needs Analysis
Developed to assess, individually, the extent to which advisers meet the competency requirements of RG146.
RG146 Workplace Skills Assessments
A comprehensive range of assessments that test how well you can apply your financial services knowledge to practical work scenarios.
FNS50107 - Diploma of Financial Services—Financial Markets pathway
This qualification will give you the building blocks you need to start your financial services career. You’ll gain insights into industry products, players and terminology, and learn how to apply your knowledge to a range of different work environments.