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Entry requirement for ASIC RG 146 training

From 1 January 2019, FAS’ new professional standards requirements for financial advisers will progressively replace training standards in Regulatory Guide 146 Licensing: Training of financial product advisers (RG 146). RG 146 sets out the minimum training standards for financial advisers.

RG 146 will continue to apply to financial advisers who are authorised by their Australian financial services (AFS) licensee as an ‘existing provider’ until the new requirements apply to them.

RG 146 will also continue to apply to advisers who are not ‘relevant providers’ – that is, those who only provide general advice, those who provide advice about Tier 2 or less complex financial products and those who only give advice in relation to a time-sharing scheme. ASIC will review and update their guidance for advisers who are not relevant providers.

RG 146 will not apply to new entrants to the industry seeking to become a relevant provider from 1 January 2019. They will need to meet FAS’ new professional standards requirements.

Tier 1 - General advice

 

Tier 1 Compliance Solution - Derivatives

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.
 

Tier 1 Compliance Solution - Financial Planning

Tier 1 Compliance Solution - Financial Planning provides individuals with the opportunity to develop the professional knowledge and skills (if required) to provide financial planning advice following a step–by–step process.
 

Tier 1 Compliance Solution - Foreign Exchange

This course introduces individuals to the concepts of foreign exchange as they apply to retail clients. Individuals will learn how to analyse and evaluate foreign exchange markets and will gain an understanding of managing risk and tax requirements when dealing with retail client portfolios.
 

Tier 1 Compliance Solution - Generic Knowledge

Tier 1 Generic Knowledge provides the generic knowledge component for all Tier 1 training and assessment requirements for individuals who provide general financial advice to retail clients.
 

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.
 

Tier 1 Compliance Solution - Life Insurance

This course introduces individuals to the concepts of personal risk management as they apply to retail clients and considers the participants, products and regulation within the insurance industry.
 

Tier 1 Compliance Solution - Managed Investments

Tier 1 Compliance Solution - Managed Investments introduces individuals to the concepts of managed investments as they apply to retail clients. The principles underpinning the foundation, structure, regulation and risks associated with the managed investment industry are also covered.
 

Tier 1 Compliance Solution - Margin Lending

This course introduces individuals to the concepts of margin lending as they apply to retail clients. Students will learn how to analyse, evaluate and choose margin loans and gearing strategies, and will gain an understanding of managing risk when dealing with retail client portfolios.
 

Tier 1 Compliance Solution - Securities

Tier 1 Compliance Solution - Securities introduces individuals to the concepts of securities as they apply to retail clients. The principles underpinning the foundations, regulation and risks associated with the securities industry are also covered.
 

Tier 1 Compliance Solution - Superannuation

In Tier 1 Compliance Solution - Superannuation, individuals will be exposed to the characteristics of the superannuation industry in Australia and superannuation as a means of funding retirement.
 

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, while providing ASIC Regulatory Guide 146 (RG 146) compliance for providing general advice in securities and managed investments to retail clients.

Tier 2

 

Tier 2 Compliance Solution - RG146 Accreditation Program

The Tier 2 RG146 Accreditation Online training program is specifically designed for corporate organisations that require employees to hold accreditation in General and/or Personal Advice in basic deposit and non-cash payment products and/or general insurance.

Specialist programs

 

Understanding and Analysing Financial Statements

This course is designed to enhance an individual’s understanding of the main financial statements.
 

Understanding Financial Markets

One-day workshop designed for new entrants to the financial services industry seeking a comprehensive understanding of the operations of the industry, the financial products used within the industry, and the markets for these products.
 

Financial Statement Fundamentals | Small and Medium Enterprises

The purpose of this course is for participants to establish a basic understanding of the financial reporting requirements, financial statements and how to assess small and medium enterprise financial performance.
 

Funds Management Markets and Products

One-day workshop designed for new entrants to the funds management industry. The course is ideal for staff working for service provider organisations, master trusts or platform providers; and support staff working in customer service, marketing, IT and call centres will also benefit from attending this course.
 

ACL Responsible Manager Forum

The Responsible Manager Forum is designed for existing, new and prospective Responsible Manager audiences, Credit Managers, and other senior managers and directors operating within the Australian Credit Licence environment.
 

AFSL Responsible Manager Forum

The Responsible Manager Forum is designed for existing, new and prospective Responsible Manager audiences, compliance officers, and other senior managers and directors operating within the Australian financial services environment.
 

Margin Lending Specialist Course

This course introduces individuals to the concepts of margin lending as they apply to retail clients. Individuals will learn how to analyse, evaluate and choose margin loans and gearing strategies, and will gain an understanding of managing risk when dealing with retail client portfolios.
 

Tax for Financial Advising

This course explains how a financial adviser applies an understanding of the key aspects of taxation to assists clients to secure a financial future for themselves, their dependents, and their families.
 

Foreign Exchange Specialist Course

This course introduces individuals to the concepts of foreign exchange as they apply to retail clients. Individuals will gain an understanding of managing risk and tax requirements when dealing with retail client portfolios.