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Home > Courses > Tier 1 Compliance – Securities and Managed Investments
This course introduces students to the concepts of securities and managed investments as they apply to retail clients.
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NUMBER OF SUBJECTS
Enrol and start anytime
Maximum of 16 weeks
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.
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:
The assessments for Tier 1 Securities and Managed Investments are listed below:
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.
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.
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:
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 email@example.com.
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To successfully complete this qualification, individuals will require basic computing skills. This may include:
You may enrol in this course at any time and begin studying immediately on enrolment.*
To enrol online, please follow these steps:
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.
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 firstname.lastname@example.org to discuss delivery options and how we can further tailor our training to meet your business needs.
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Tier 1 Compliance Solution – Securities and Managed Investments – General Advice
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