ASIC RG 146 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.

 UPDATE: Margin lending is now listed on the ASIC Training Register as a financial product. Become RG 146 compliant with our NEW Margin Lending and Geared Investments Program.

What we offer

The RG 146 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 RG 146.

 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 RG 146.
 
 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 RG 146.

 Graduate Diploma of Financial Planning - The Graduate Diploma of Financial Planning is listed on the ASIC register as meeting the RG 146 requirements for:

  • generic knowledge
  • specialist knowledge and skills in
    • financial planning
    • general insurance
    • life insurance
    • insurance broking
    • superannuation
    • managed investments
    • securities.

Alternative offerings

 RG 146 Assessment and Gap Training Program 
Developed to assess advisers on the knowledge and skills requirements of RG 146, taking into account their specific areas of responsibility, with the intention of filling any gaps and enabling them to achieve compliance.

 RG 146 Needs Analysis
Developed to assess, individually, the extent to which advisers meet the competency requirements of RG146.

 RG 146 Workplace Skills Assessments 
A comprehensive range of assessments that test how well you can apply your financial services knowledge to practical work scenarios.

 

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