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ASIC Compliance

Are you wanting to become a financial planner or financial adviser?

  • The Kaplan Financial Planner Level 1 course will provide you with RG 146 compliance and enable you to deliver: Tier 1 general and personal advice across the following knowledge areas: Financial Planning, Superannuation, Life Insurance, Securities and Managed investments. Tier 2: general advice in General Insurance and Deposit Products & Non-Cash Payment Products. Students who successfully complete DFP1–3 are eligible for the nationally recognised Diploma of Financial Planning (FNS50615). Completion of DFP1–4 will give you the best preparation for the Kaplan Financial Planner Level 2 course, resulting in the Advanced Diploma of Financial Planning (FNS60415).

Are you a financial services professional (e.g. stockbroker or private banker) who requires RG 146 compliance in certain product areas?

  • Our Tier 1 compliance solutions enable you to specifically select short online courses in a particular knowledge area pertaining to your RG 146 requirement. You can enrol into the Kaplan Financial Planner Level 1 course, which will provide you with compliance across multiple knowledge areas and be awarded the Diploma of Financial Planning (FNS50615) qualification. To find out  more please call one of our Corporate Solution Representatives on 1300 728 505.

Are you an experienced adviser who meets the 'five out of eight years' industry experience requirement?

  • Tier 1 compliance training enables you to select short online courses in a specific knowledge areas as set out on ASIC RG 146. These knowledge areas include: Generic Knowledge, Financial Planning, Superannuation, Life Insurance, Managed Investments, Securities, Derivatives, Margin Lending and Foreign Exchange. To find out more please call a Student Service Representative on 1300 662 203

Are you a recognised accountant who is affected by the end of 'accountants' exemption' on 1 July 2016?

  • The Accountants’ SMSF Package has been designed to enable accountants to provide personal advice on superannuation and self-managed superannuation funds (SMSFs). If you require RG 146 compliance in additional knowledge areas, you should undertake subjects from the Kaplan Financial Planner Level 1 course.

Are you responsible for training and development in your organisation? Do your employees require compliance training?

  • Kaplan provides training and education solutions that can be tailored to your individual business needs. If your organisation requires Tier 1 compliance or Tier 2 compliance you should speak to one of our Corporate Solutions Representatives and find out what customised solutions we can provide. To find out more, speak to one of our Corporate Solutions Representatives on 1300 728 505.
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 (RG 146). While credit license holders need to ensure that their representatives are adequately trained, as set out in the ASIC Regulatory Guide 206 (RG 206).