Do you need to be RG 146 compliant?
The Kaplan Financial Planner Level 1 program develops the essential skills and knowledge required to enter the financial planning industry. This online course combines specialist knowledge and financial planning skills to prepare you for providing personal advice to retail clients.
Kaplan Professional has modernised the Financial Planner Level 1 program to include the latest industry renowned content, and enhanced the structure and quality of assessment to meet the market demand for advisers who are innovative and agile in their thinking.
Each subject has been revamped with relevant, practice-based assessments to encourage progressive learning and development, allowing students to build their knowledge and skills as they move through the course.
The new Kaplan Financial Planner Level 1 program is structured into four subjects:
The Kaplan Financial Planner Level 1 program is for people who want a career as a financial planner or financial adviser. It provides you with:
On successful completion of DFP1–3 you will be awarded the nationally recognised Diploma of Financial Planning (FNS50615).
The maximum time for completing each subject is 12 weeks from the commencement date.
Students who require the (FNS50615) Diploma of Financial Planning qualification must complete DFP 1–3 within two years of their initial enrolment date.
Financial advisers seeking a higher level of education can explore pathways into Kaplan Professional’s Master of Financial Planning. Those who enrol have the opportunity to take advantage of a number of pathways to also attain either the FChFP or CFP® designation.
Continuing professional development (CPD) of your knowledge and skills is essential to remaining compliant under ASIC’s Regulatory Guide 146 (RG 146).
Kaplan Professional offers CPD training through Ontrack — our online CPD platform — which delivers monthly multimedia training, along with tracking and reporting capabilities.
Kaplan Professional’s CPD training is recognised and accredited by the FPA, AFA and SMSF Association. 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.
Enrol directly into DFP1–4 for $1995 (GST exempt).
Individual subjects are $585 (GST exempt) each.
For additional study-related fees, please click here.
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 course, learners will require basic computing skills. This may include:
You may enrol into this course at any time and begin studying immediately on enrolment.
Students must complete the DFP1 – 4 in sequential order.
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 page.
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.
Education requirements for financial advisers
Kaplan Professional welcomes and supports the new professional education standards for both new and existing financial advisers.
We encourage you to book a consultation over the phone to discuss the options and study pathways available to you in more detail. These consultations allow our experienced and knowledgeable team to understand your needs, identify the qualification most appropriate for you, and address your questions thoroughly.
Alternatively, you can get in touch directly on 1300 320 760 or firstname.lastname@example.org .
Assessment for each of the four subjects includes:
Kaplan Professional provides students with a case study (real life client scenario) for which students are required to research and develop investment strategies and/or prepare a compliant Statement of Advice for the client. In each instance you will be assessed on your ability to engage with your client — from initial contact, to the development and documentation of a financial strategy to meet their specific needs.
You must submit your assignment within 12 weeks of your enrolment date.
If your first submission is deemed ‘not yet competent’ you are required to resubmit it. You will only need to resubmit the question(s) that do not have the demonstrated knowledge requirement. If a resubmission is required, it must be within 16 weeks of your enrolment date. More detailed information about the assignments are in the subject outlines.
Kaplan Professional’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 the questions you got incorrect 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 Professional office.
Click here for Kaplan Professional office exam times and venues.
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.
Access our refund policy
Click here to download a brochure for this course.