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Home > Courses > Tier 1 Compliance Solution – Insurance Broking
The course includes generic knowledge, core knowledge and specialist insurance knowledge, and meets the education requirements of ASIC Regulatory Guide 146 (RG 146) for providing general and personal advice with broking clients.
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STUDY MODE
100% online
NUMBER OF SUBJECTS
2
NEXT INTAKE
Enrol and start anytime
COURSE FEE
$910.00
AVAILABLE LOANS
N/A
AQF LEVEL
Various
COURSE DURATION
Maximum of 32 weeks
ACCREDITATION
Australian Skills Quality Authority
PROVIDER ID
RTO 90116
Is Tier 1 Insurance Broking a requirement of your job role?
Are you looking to become ASIC RG 146 compliant?
Kaplan Professional, a leading national provider of financial services education, recommends the Kaplan Professional Tier 1 RG 146 Compliance Solution for Insurance Broking.
The course meets the education requirements of ASIC Regulatory Guide 146 (RG 146) for providing general and personal advice with broking clients.
The course includes generic knowledge, core knowledge and specialist insurance knowledge.
Kaplan Professional’s Tier 1 Insurance Broking course is for individuals who want a career as a general insurance broker. The course is designed to:
Please refer to the subject outlines for more information.
The Tier1 Insurance Broking program is structured into two subjects:
Insurance Broking Fundamentals
Insurance Broking Advice
Four units of competency are awarded for the successful completion of Tier 1 Insurance Broking; four core. For information on the units of competency, please see the subject outlines in the ‘Course overview’ tab.
The assessments for each subject are listed below. Units of competency are co-assessed by topic within subjects, as listed in ‘Units of competency’.
Individuals may attempt the exam and/or submit their assignment at any time if they believe they are adequately prepared. Individuals will receive personal reminder emails as they approach their assessment deadlines.
Individuals must be deemed competent in all assessment items, including demonstrating competency in all of the exam questions, in order to be awarded their qualification or course.
To learn more about what to expect when completing an oral assignment using audio please click here.
Individuals who complete the course or qualification will receive a statement of attainment per subject.
You can sit your exam while being supervised in your workplace or with online supervision via Zoom at a suitable location.
Click here for more information about Kaplan Professional exams.
Individuals have a total of:
Therefore, if an individual completes the learning and assessment, and the resubmission time in every subject is granted, the duration will be 32 weeks.
The subjects must be completed in the following sequence:
The subject breakdown for this course is below:
The amount of training for this course may be up to 13 hours per week. The amount of training is the hours an individual can expect to spend to complete their course work and assessments.
In addition to the amount of training, individuals who are new to industry or vocational training could need up to nine (9) hours per week known as unsupervised hours. These additional hours are for study skills or further research. For example, an individual not working in industry would need more time to review industry websites that are usually introduced in workplace compliance training.
Individuals working in industry may be able to complete the course requirements in a shorter timeframe or less hours per week.
Additional study-related fees apply to formal extensions and re-enrolments. Please refer to the Vocational Education Fees schedule found here.
Please also refer to our Vocational Education and Training (VET) Enrolment Terms and Conditions here or our Student Handbook here for important information on:
There are no educational entry requirements for Tier 1 Insurance Broking.
However, it is recommended that individuals complete Tier 2 General Insurance Personal Advice for underpinning knowledge.
There are no formal entry requirements set by Kaplan Professional.
Individuals are required to be aged 18 years or older to enrol in this course.
Individuals who are in Australia on a student visa are unable to enrol in this course. If you are in Australia on a visa and wish to enrol, you need to ensure you are enrolling in accordance with the study conditions of your visa.
To successfully undertake this course, individuals are expected to have Language, Literacy, Numeracy and Digital (LLND) skills at ACSF Level ACSF4.
This means you should be able to:
If you have any doubts about whether you have the language, literacy and numeracy skills to undertake this course, we recommend you speak with our Student Services team on 1300 662 203 or email mail@kaplan.edu.au.
Further information regarding the LLND requirements for enrolment can be found here.
The technology requirements to complete this qualification can be found here.
Individuals may enrol in the Tier 1 Insurance Broking at any time.
Before approving enrolment, Kaplan Professional collects student information to assess course suitability. This screening may include a review of course prerequisites, prior qualifications, identified learning needs, employer confirmation of training needs (where applicable), and language, literacy, numeracy and digital skills (LLND).
For more information, individuals can speak with the Student Services team on 1300 662 203 or mail@kaplan.edu.au.
A valid Unique Student Identifier (USI) must be provided before access will be granted to the course materials.
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.
Individuals may be able to obtain Credit Transfer if they have previously achieved units of competency which are equivalent to units in their course.
Individuals may be able to obtain Recognition of Prior Learning (RPL) for a Kaplan Professional award subject based on their previous study and/or work experience. To do this, individuals must submit evidence that demonstrates they have already met the requirements of the subject through these other means.
Evidence can take many forms, such as information about approved study, information about work experience, certificates, transcripts, or other credentials.
To find out if you are eligible for RPL, please refer to our Credit Transfer and Recognition of Prior Learning (RPL) page.
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.
Click here to access our terms and conditions.
Access our refund policy.
Access our Grievances, Complaints and Appeals policy.
Enrol directly into Tier 1 Insurance Broking for $910 (GST free).
Fees are subject to change.
Note: this fee is paid upfront. If a course is found not to be suitable for a student during the enrolment process, a full refund will be provided, along with all reasonable support to explore alternative study option/s.
For additional study-related fees, please click here.
We prioritise our students' mental and physical health, creating a supportive environment for learning success.
Our dedicated support teams are here to support you throughout your studies.
Our engaging and interactive learning resources support flexible and self-paced learning experiences for our students.
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Kaplan Professional is offering education update presentations for advice firms – available online or in person – designed to help advisers navigate the evolving professional landscape.
The financial advice profession is rarely a straight path. Increasing regulation, rising client expectations, technological change and higher professional standards mean advisers must continually adapt to remain relevant and competitive.
This presentation maps the full career lifecycle of an adviser – from entry into the profession through to specialisation, leadership and long-term sustainability. At each stage, we explore the capabilities required, the common challenges advisers face, and the role education plays not just as a compliance requirement, but as a strategic enabler of professional growth.
• Education pathways from entry to senior leadership
• How capability requirements evolve across career stages
• The shift from minimum standards to advanced technical and strategic expertise
• The role of ongoing education in building resilience, sound judgement and sustainable careers
Designed for adviser teams and leadership groups, this presentation provides practical insights into how structured learning supports long-term performance, professionalism and business sustainability.
To book an education update session for your advisers please contact your Corporate Relationship Manager to arrange a suitable time.
Date: Wednesday, 11 March
Time: 1:00pm – 3:00pm AEDT
Fee: $280
Where: Online (Zoom)
Host: Matthew Farley
A certificate of attendance outlining CPD hours will be awarded at the conclusion of this workshop. A full list of topics is available on our website.
Date: Thursday, 19 March
Time: 1:00pm – 3:30pm AEDT
Fee: $340
Host: Dr Jenny Diggle
Kaplan Professional has expanded the Financial Adviser Accelerator Suite with a new set of practical topics designed to further strengthen capability across both technical and client engagement areas.
As client expectations continue to rise and advice scenarios become more complex, early career advisers must combine sound technical knowledge with strong communication skills and thoughtful decision-making. The latest additions to the suite support this ongoing professional development.
Practical frameworks to enhance credibility, strengthen adviser presence and build more meaningful, long-term client relationships.
Structured approaches to assessing appropriate cover, modelling client scenarios and supporting well-reasoned, client-centred risk advice.
Applying probability-based thinking to improve strategic judgement and support more confident decision-making in uncertain environments.
These additions build on the Financial Adviser Accelerator Suite focus on applied, real-world learning, equipping advisers with skills that can be immediately implemented in practice.
The ongoing expansion of the Financial Adviser Accelerator Suite reflects Kaplan Professional’s commitment to supporting advisers as they continue to develop deeper expertise and deliver high-quality, client-focused advice.
For advisers who have now met the education standard, the focus shifts from compliance to opportunity.
Kaplan Professional offers clear pathways to build on the bridging courses and subjects already completed and convert that study into a full, recognised qualification. Advisers who have completed individual units toward the education standard may be eligible to articulate into the Graduate Certificate in Financial Planning or Graduate Diploma of Financial Planning, formalising their academic achievement and strengthening their professional standing.
From there, eligible Graduate Diploma alumni can upgrade to the Master of Financial Planning, completing the remaining subjects to attain a postgraduate qualification that positions them above the minimum regulatory requirement. The Master’s program also provides direct pathways toward leading professional designations, including CFP® and SSA®, enabling advisers to align academic progression with industry-recognised credentials.
Advisers who have completed the Graduate Diploma of Financial Planning are already eligible to obtain leading professional designations through the College for Financial Planning®. This includes globally-recognised credentials such as the Accredited Behavioural Finance ProfessionalSM (ABFP®) and Chartered Retirement Planning CounsellorSM (CRPC®) designation.
No further study is required to meet the education component for these certifications, allowing advisers to leverage their existing qualification to secure respected professional recognition and further strengthen their standing in the industry.
Beyond core qualifications, Kaplan Professional also offers access to additional specialist electives and professional designation pathways, allowing advisers to differentiate in areas such as superannuation, retirement, ethics and client strategy.
In short, completing the education standard doesn’t have to be the end point. With Kaplan Professional, it can be the foundation for higher qualifications, respected designations and long-term career progression.
Contact your Corporate Relationship Manager to discuss the education options and pathways for your adviser network. Alternatively, contact 1300 135 798 (option 2) or email courseadvice@kaplan.edu.au.
Kaplan Professional will host a special Women in Finance webinar on Tuesday, 3 March, celebrating the achievements, leadership and career journeys of women shaping the financial services industry.
The session will explore leadership, career progression and the role education has played in supporting professional success across diverse areas of the sector.
Graduate Diploma of Financial Planning dux, two-time Olympian and Financial Adviser at HLB Mann Judd.
Graduate Diploma graduate, business owner and founder of a caregiving training institute in Bangladesh, with more than 20 years’ industry experience.
Master of Applied Finance graduate and Director at BDO Sydney, specialising in governance, risk and assurance across financial services.
Date: Tuesday, 3 March
Time: 1:30pm AEDT
Location: Online (Zoom)
The webinar will include practical leadership insights, reflections on career growth, discussion on the impact of education in finance, and an interactive Q&A session.
Now
9 March
25 March
29 May
Kaplan Professional is offering eligible Graduate Diploma of Financial Planning alumni a limited-time opportunity to upgrade to the Master of Financial Planning at a fixed alumni price of $5,000.
This exclusive offer enables alumni to complete their remaining four subjects – two core subjects (FPC009 Complex Financial Planning and KAP001 Capstone Project) and two electives – at a substantially reduced cost compared to standard postgraduate tuition fees.
To access the offer, eligible alumni must enrol and commence their first subject by the Study Period 2 census date, 25 March 2026.
Upgrading to the Master’s degree provides advisers with the opportunity to deepen technical expertise, broaden strategic capability and position themselves strongly as professional standards across the industry continue to rise. The program also supports progression toward additional professional designations.
Full details, including subject structure, study plans and application steps, are available below.