Short Programs
Kaplan Professional's range of short programs* are designed to meet the specific needs of financial advisers and non-advisory staff.
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Who Should Enrol
Financial Services staff who need to gain a better understanding of the different types of financial product advice and other distinguishing features. The workshops will clarify what can and cannot be said to clients.
More specifically, each program is ideal for particular vocational needs:
- No Advice Workshop (NAW) – for non-advisory financial services staff
- General Advice Workshop (GAW) – for staff with restricted authority to provide general advice only.
What would I achieve upon completion?
Each of the programs will have particular outcomes upon completion.
- No Advice Workshop – understand what financial product information you can provide as a non-advisory staff
- General Advice Workshop – understand your limitations as a staff restricted to offering general advice only.
Prerequisites
There are no prerequisites for entry into either of these programs.
Structure of Short Programs
The NAW and GAW are half-day workshops which include interactive role-plays. The NAW is relevant to those in non-advisory roles while the GAW is ideal for those who provide general advice only.
The workshops step you through the Corporations Act and ASIC guidelines, covering key issues including:
- what can constitute 'advice' on 'financial products' under the Corporations law
- relevant sections of the Corporations Act and ASIC’s requirements under RG146
- the difference between providing advice and just information
- what to consider when talking to a client
- guidelines around what can/cannot be said regarding an organisation's products and services
- effective use of verbal disclaimers and client warnings
- compliance monitoring
- the difference between personal and general advice (GAW only).
In-house options
Workshops can also be customised to an organisation’s requirements. A minimum of 10 students are required for a workshop to be run and special rates may apply for group enrolments.
Duration and delivery
Workshop duration is 3.5 hrs.
Assessment
There is no assessment for either of these programs.
Recognition & Exemptions
There is no recognition for the NAW or GAW.
Short Program Fees
NAW and GAW workshop fees
- NAW: $495 +GST
- NAW Finsia member: $445 +GST
- GAW: $495 +GST
- GAW Finsia member: $445 + GST
Overseas Courier Surcharges
For those undertaking a short program via self-study overseas, a surcharge is added to the enrolment fee to cover the higher dispatch costs.
Download the list of applicable overseas courier surcharges.
All prices are valid until 31 December 2009.
Enrolment and Further Information
It's important to understand the critical fundamentals of your role. Learn to professionally represent yourself and your organisation in the financial services industry by enrolling in Kaplan Professional's Short Programs.
Study Information
Visit Study Information for more information.
*Generic Knowledge and Managed
Investment are no longer being offered as stand alone short programs. They are currently being offered as part of our Tier 1 Compliance Solutions.
For more information, click here.