Are you looking to enter the financial services industry to provide general or personal advice to retail clients?
Are you looking to become ASIC RG 146 compliant?
Kaplan Professional, a leading national provider of education in financial services recommends the Kaplan Tier 1 RG 146 Compliance Solution for those wanting to provide either general advice or personal advice on financial products and services in one or more specialist knowledge areas.
Generic Knowledge provides the generic knowledge component for all Tier 1 training and assessment requirements for individuals who provide general or personal financial advice to retail clients.
The subject introduces students to the participants, products, markets and regulatory environment for the financial services industry in Australia.
Note: To provide general or personal advice in a Tier 1 knowledge area, students must have completed this subject.
The Generic Knowledge subject only needs to be completed once. Please see the subject outline for information.
You may enrol into this course at any time and begin studying immediately on enrolment.*
To enrol online, please follow these steps:
* If you have not previously completed Generic Knowledge, please ensure you enrol into this subject as it is a prerequisite of the Tier 1 knowledge areas.
There are no prerequisites for this subject.
There are no entry or eligibility requirements for this course.
You may be exempted from studying a subject or the full qualification based on your previous training, study and or work experience.
To find out if you are eligible to receive an exemption refer to our exemptions policy.
To access Kaplan’s policies refer to our policies.
Generic Knowledge is the prerequisite for all Tier 1 courses.
Continuing professional development (CPD) of your knowledge and skills is essential to remaining compliant under ASIC’s Regulatory Guide 146 (RG 146).
Kaplan offers CPD training through Ontrack — our online CPD platform — which delivers monthly multimedia training, along with tracking and reporting capabilities.
Kaplan’s CPD training is recognised and accredited by the FPA, AFA and SPAA. To learn more about our RG 146 compliance offerings, visit the CPD page for more information, or contact our CPD support team on 1300 527 526.
The maximum time for completing Generic Knowledge is 12 weeks.
This course is delivered online via Kaplan’s learning management system KapLearn.
You will receive login details to KapLearn upon enrolment. When you log on to KapLearn you are able to access the subject notes, assessments, additional learning materials such as media, case studies, practice activities and your online tutor.
Assessments are accessed and submitted through KapLearn.
Corporate clients should contact our Corporate Solutions Representative on
1300 728 505 to discuss face-to-face delivery options and how we can tailor our training to your business needs.
Assessment for this course is as follows:
Students may attempt the exam at any time before the conclusion of their 12 week study period if they think they are adequately prepared. Students will receive personal reminder emails as they approach their assessment deadlines.
Kaplan’s exams are open book multiple-choice exams where emphasis is placed on the application of knowledge.
You must sit your first exam within 12 weeks of your enrolment date.
To achieve an overall grade of ‘competent’ in the exam, you must achieve the nominated pass mark for each module in the exam. If you are deemed ‘not yet competent’ for a module, you are provided with a re-sit and are only required to attempt that module in the re-sit. If a re-sit is required, it must be within 16 weeks of your enrolment date.
You can sit your exam while being supervised in your workplace or at a Kaplan office.
Click here for Kaplan office exam times and venues.
Tier 1 Compliance Solution – Generic Knowledge: $270 (GST exempt)
For additional study-related fees, please click here
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