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Course overview


STUDY MODE

100% online

NUMBER OF SUBJECTS

1

NEXT INTAKE

Enrol and start anytime

COURSE FEE

$280.00

AVAILABLE LOANS

N/A

AQF LEVEL

N/A

COURSE DURATION

Maximum of 16 weeks

ACCREDITATION

PROVIDER ID

N/A


Are you looking to become compliant in Tier 1 Derivatives – General Advice?

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

This course introduces individuals to the concepts of derivatives as they apply to retail clients. The principles underpinning the foundations, regulation and risks associated with the derivatives industry are also covered. This course has been developed for financial advisers or those working in the financial services industry. Students may need to meet additional regulatory or licensee requirements before providing specific advice in these areas.

Individuals will learn how to analyse and evaluate derivatives and will gain an understanding of the documentation and tax requirements when dealing with retail client portfolios.

Upon successful completion, individuals will meet the education requirements of ASIC Regulatory Guide 146 (RG146) for providing general advice in derivatives to retail clients.

Please refer to the subject outline for more information.

 

Duration

Individuals have a total of 12 weeks to complete the learning and assessment requirements from their initial enrolment date.

An additional four (4) weeks per subject is available if required to re-sit an exam.

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

Assessment

The assessment for Tier 1 Derivatives General Advice is listed below.

SubjectAssessmentAssessment Detail
Tier 1 Derivatives- General Advice1 ExamSupervised, open-book, multiple-choice examination with four (4) attempts.

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

Kaplan Professional exams are delivered online via the Student Portal. Click here for further details.

Entry requirements

Education requirements

Individuals enrolling in Tier 1 Derivatives – General Advice will need to have met the Generic Knowledge entry requirements prior to enrolling into 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 course, learners 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 Derivatives – General Advice will need to have met the Generic Knowledge entry requirements prior to enrolling into 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 course, learners 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:

  • In the ‘category’ drop-down list, select Financial Services – Tier 1
  • In the ‘Search by’ drop-down list, select subject
  • 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 in 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 on enrolment. When you log on to KapLearn, you are able to access the subject notes, assessments, additional learning materials (such as media, case studies and 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 – Derivatives – General Advice

$280 (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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