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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.
Tier 1 Compliance Solution – Derivatives – General Advice
$270 (GST exempt)
For additional study-related fees, please click here
Individuals have a total of 12 weeks to complete the learning and assessment requirements from their initial enrolment date.
An additional four weeks (4) per subject is available if required to resit an exam.
Individuals completing Tier 1 Derivatives – General Advice will need to have completed Generic Knowledge.
Individuals are required to be aged 18 years or older to enrol in this course.
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 into this course at any time and begin studying immediately on enrolment.*
To enrol online, please follow these steps:
* 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, 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.
The assessment for Tier 1 Derivatives General Advice is listed below.
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.
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.
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