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Course overview


STUDY MODE

100% online

NUMBER OF SUBJECTS

1

NEXT INTAKE

Enrol and start anytime

COURSE FEE

$510.00

AVAILABLE LOANS

N/A

AQF LEVEL

N/A

COURSE DURATION

Maximum of 16 weeks

ACCREDITATION

PROVIDER ID

N/A


Are you looking to become RG 146 compliant in Securities and Managed Investments – General Advice?

Kaplan Professional, a leading national provider of financial services education offers the Tier 1 general advice in the securities and managed investment specialist knowledge area.

This course introduces students to the concepts of securities and managed investments as they apply to retail clients.

Individuals will learn the purpose of investing – the return and risk undertaken in making investments as well as the relationship between the two concepts. The subject explores diversification, its effect on risk and return and other key elements of portfolio construction.

On successful completion individuals will meet the education requirements of ASIC Regulatory Guide 146 (RG 146) for providing general advice in securities and managed investments to retail clients.

Please refer to the subject outline for more information:

Assessment

The assessments for Tier 1 Securities and Managed Investments are listed below:

SubjectAssessmentAssessment detail
Tier 1 Securities and Managed Investments - General AdviceOne (1) examSupervised, open-book, multiple-choice exam with four (4) attempts.

Individuals may attempt the exam at any time if they believe they are adequately prepared and will receive personal reminder emails as they approach their assessment deadlines.

Kaplan Professional’s exams are delivered online via your Student Portal. Click here for further details.

Duration

Individuals have a total of 12 weeks to complete the learning and assessment requirements for Tier 1 Securities and Managed Investments – General Advice from their initial enrolment date.

An additional four weeks (4) is available if required to resit an exam.

For a guide on the number of study hours for Professional Year formal training, click here.

Entry requirements

Education requirements

Individuals enrolling in Tier 1 Securities and Managed Investments – General Advice will need to have met the Generic Knowledge entry requirements prior to enrolling in this course.

Individuals are also required to be aged 18 years or older to enrol into this course.

Generic Knowledge entry requirements

To meet the Generic Knowledge entry requirements for this course, you will need to demonstrate knowledge obtained through formal studies (completed within the last five years) of three of the four topic areas detailed below:

  • Topic 1: The Australian financial system and economic environment
  • Topic 2: Introduction to the Australian financial services industry and legislation
  • Topic 3: Investment asset classes and mortgage loans
  • Topic 4: General Insurance

Language, literacy and numeracy (LLN) requirements

This course requires you to read comprehensive learner workbooks, complete a range of written assessments, undertake independent research activities, and at times, engage in online forums and discussions. Furthermore, the delivery mode relies on the extensive use of written communication.

If you have any doubts about whether you have the language, literacy and numeracy skills to undertake a Kaplan Professional program, we recommend you speak with our Student Services team on 1300 662 203 or email mail@kaplan.edu.au.

Computing requirements

Recommended browsers

You can access KapLearn using any of the browsers below, but it runs best on the latest versions:

  • Firefox 3 or later
  • Chrome 4 or later
  • Safari 3 or later
  • Internet Explorer

You may find it helpful to have more than one browser installed on your computer. If you experience problems using Kaplan Professional’s online learning system, try using another browser.

Browser settings and support

For the best user experience in Kaplan Professional’s online learning system, select the following browser settings:

  • Enable cookies
  • Enable JavaScript
  • Do not block pop-up windows

Skill requirements

To successfully complete this qualification, individuals will require basic computing skills. This may include:

  • Saving and editing Microsoft Office documents
  • Researching, accessing and searching the internet
  • Downloading and saving documents from websites
  • Uploading documents through websites
  • Participating in online discussions

Individuals enrolling in Tier 1 Securities and Managed Investments – General Advice will need to have met the Generic Knowledge entry requirements prior to enrolling in this course.

Individuals are also required to be aged 18 years or older to enrol into this course.

To meet the Generic Knowledge entry requirements for this course, you will need to demonstrate knowledge obtained through formal studies (completed within the last five years) of three of the four topic areas detailed below:

  • Topic 1: The Australian financial system and economic environment
  • Topic 2: Introduction to the Australian financial services industry and legislation
  • Topic 3: Investment asset classes and mortgage loans
  • Topic 4: General Insurance

This course requires you to read comprehensive learner workbooks, complete a range of written assessments, undertake independent research activities, and at times, engage in online forums and discussions. Furthermore, the delivery mode relies on the extensive use of written communication.

If you have any doubts about whether you have the language, literacy and numeracy skills to undertake a Kaplan Professional program, we recommend you speak with our Student Services team on 1300 662 203 or email mail@kaplan.edu.au.

Recommended browsers

You can access KapLearn using any of the browsers below, but it runs best on the latest versions:

  • Firefox 3 or later
  • Chrome 4 or later
  • Safari 3 or later
  • Internet Explorer

You may find it helpful to have more than one browser installed on your computer. If you experience problems using Kaplan Professional’s online learning system, try using another browser.

Browser settings and support

For the best user experience in Kaplan Professional’s online learning system, select the following browser settings:

  • Enable cookies
  • Enable JavaScript
  • Do not block pop-up windows

To successfully complete this qualification, individuals will require basic computing skills. This may include:

  • Saving and editing Microsoft Office documents
  • Researching, accessing and searching the internet
  • Downloading and saving documents from websites
  • Uploading documents through websites
  • Participating in online discussions

Enrolment information

You may enrol in this course at any time and begin studying immediately on enrolment.*

To enrol online, please follow these steps:

  1. In the ‘category’ drop-down list, select Financial Services – Tier 1
  2. In the ‘Search by’ drop-down list, select subject
  3. If you just click search, this will show all Tier 1 subjects and you will be able to enrol in multiple subjects

Or

You can search for the specific subject you are wishing to enrol in by entering the name of the subject and clicking search.

*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.

Enrol now

This course is delivered online via Kaplan Professional’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, practise activities) and your online tutor.

Assessments are accessed and submitted through KapLearn.

Corporate clients should contact our Corporate Solutions team at corporate@kaplan.edu.au to discuss delivery options and how we can further tailor our training to meet your business needs.

Policies

Student policies

Individuals who enrol in a Kaplan Professional course are bound by our published policies, including the policy that sets out our rules for assessment. Individuals can review these policies here. The policies also assist individuals when their study program does not go as planned and they need extra support.

Terms and conditions

Click here to access our terms and conditions.

Refund policy

Access our refund policy.

Fees

Tier 1 Compliance Solution – Securities and Managed Investments – General Advice

  • $510(GST exempt)

For additional study-related fees, please click here.

Support and wellbeing

We understand studying isn’t always easy; you may not have studied for some time or perhaps you haven’t studied online previously. Kaplan Professional recognises juggling study with work and family commitments, while trying to find the balance can be demanding.

Your wellbeing and safety is paramount to Kaplan Professional. We want to ensure your experience is well-rounded and balanced to help you attain the most from your studies, so we encourage you to take advantage of the services available to you.

Support and wellbeing

We understand studying isn’t always easy; you may not have studied for some time or perhaps you haven’t studied online previously. Kaplan Professional recognises juggling study with work and family commitments, while trying to find the balance can be demanding.

Your wellbeing and safety is paramount to Kaplan Professional. We want to ensure your experience is well-rounded and balanced to help you attain the most from your studies, so we encourage you to take advantage of the services available to you.

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