ASIC RG146 compliance

In Australia, under the Corporations Act, individuals wishing to provide financial product advice to retail clients are required to meet initial and ongoing educational requirements as outlined in ASIC Regulatory Guideline 146 (RG146). The competencies required for RG146 compliance can be gained through our:



 Kaplan Financial Planner Level 1 course
 Tier 1 training compliance
 Tier 2 training compliance

For more information on RG146 educational requirements, visit

Choosing the right compliance solution for your needs



An entry-level adviser or recent graduate.

Kaplan Financial Planner Level 1 course

An experienced adviser who meets the ‘five out of eight years’ industry experience requirement.

Tier 1 compliance training: explore the Assessment Only option and add on knowledge areas as required.

A financial service professional e.g. stockbroker, private banker or accountant, needing compliance in certain products. Pick and choose knowledge areas required by completing short training courses via Tier 1 or enrol into the Kaplan Financial Planner Level 1  if you require compliance across multiple knowledge areas.

Tier 1 compliance training delivers compliance in individual knowledge areas as set out on ASIC RG146. These knowledge areas include: Financial Planning, Superannuation, Life Insurance, Managed Investments, Securities, Derivatives, Margin Lending and Foreign Exchange.

The Kaplan Financial Planner Level 1 course will provide compliance across the following knowledge areas: Financial Planning, Superannuation and Life Insurance.

Our Tier 2 solution is only offered as a corporate solution.

Are you a Training Manager looking for compliance training for employees? Call us on 1300 728 505 to discuss a solution that meets your business needs.

Continuing professional development (CPD)

Advisers can undertake professional development for compliance through participation in our CPD programs. These include short courses and onlineprint and media-based resources. These programs are recognised by the FPA, SPAA and AFA for CPD accreditation. Visit the CPD page for more information.

 Call us on 1300 662 203
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