Short Programs

Kaplan Professional's range of short programs is designed to meet the specific needs of financial advisers and non-advisory staff.

This page contains:
 Download Brochure

Who Should Enrol

Each of the four subjects is ideal for particular vocational needs.

  • Managed Investments (MI) – for those beginning their career in this area
  • Generic Knowledge (GK) – for new entrants into the financial services industry
  • 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 four subjects will have particular outcomes upon completion.

  • Managed Investments – gain an understanding of various managed investment products and their associated risks and legislation
  • Generic Knowledge – understand the fundamentals of financial markets and the general rules and economic environment that govern or shape them
  • 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 any of these subjects, however, it is recommended you complete Kaplan Professional’s Entry Level Competencies (ELC) course or Generic Knowledge (GK) subject prior to enrolling in Managed Investments (MI).

Structure of Short Programs

Managed Investments (MI)

There are a series of modules within this subject including:

  • Investment Fundamentals
  • Legislation and Compliance
  • How Managed Investments Work
  • Managed Funds
  • Managed Property Investments
  • Managed Investment Structures
  • Taxation of Managed Investments
  • Analysis of Managed Investments.

PDF Download the Managed Investments Learning Outcomes (PDF) for further details.

General Knowledge (GK)

There are a series of modules within this subject including:

  • Operation of Financial Markets
  • Regulations and the Financial Services Industry
  • The Australian Economic Environment
  • Introduction to Financial Products Investment
  • Introduction to Taxation.

PDF Download the Generic Knowledge Learning Outcomes (PDF) for further details.

No Advice Workshop (NAW) and General Advice Workshop (GAW)

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

Self-study: MI and GK students only.

Intensive workshop: delivered as required for a minimum of 10 students.

MI and GK: workshops are 1.5 days duration, in addition to an estimated 24 hours of self study.  The student may elect to sit the exam on afternoon of the second day.

NAW and GAW: workshop duration is 3.5 hrs.

Assessment

MI and GK: exam.

Students who are unsuccessful in the exam (Not yet competent) will have the opportunity to resit the exam twice.  See the Assessment Policy for further details.

NAW and GAW: no assessment.

Kaplan Practice Exams

 Visit the Kaplan Practice Exams page.

Recognition & Exemptions

Methods available:

RPL may exempt you from certain modules within the MI and GK short programs - there is no recognition for the NAW or GAW.

Refer to Recognition & Exemptions for further information.

Short Program Fees

MI and GK fees

Self-study:

  • Standard fee: $465 per subject
  • Finsia member: $420 per subject

Intensive workshop:

  • Total fee: $860 per subject.
    ($465 per subject + $395 intensive workshop fee)
  • Finsia member: $775 per subject
    ($420 per subject + $355 intensive workshop fee)

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.

PDF 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

Refer to the following links for further information, or visit Study Information.

Exam Information
 Recognition & Exemptions

Back to Top