Request a call
1300 728 505
Are you looking to become compliant in Securities and Managed Investments – General Advice?
Kaplan Professional, a leading national provider of education in financial services offers the Kaplan Professional Tier 1 general advice in the securities and managed investment specialist knowledge area.
This course introduces students to the concepts of securities and managed investments as they apply to retail clients.
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.
Upon successful completion individuals will meet the education requirements of ASIC Regulatory Guide 146 (RG146) for providing general advice in securities and managed investments to retail clients.
Please refer to the subject outline for more information:
Tier 1 Compliance Solution – Securities and Managed Investments – General Advice
For additional study-related fees, please click here.
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) per subject is available if required to resit an exam.
Individuals enrolling into Tier 1 Securities and Managed Investments – General Advice will need to have met the Generic Knowledge entry requirements prior to enrolling into 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:
Topic 1: The Australian financial system and economic environment
Topic 2: Introduction to the Australian financial services industry and legislation
Topic 3: Investment asset classes and mortgage loans
Topic 4: General Insurance
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 firstname.lastname@example.org.
Recommended browsersYou can access KapLearn using any of the browsers below, but it runs best on the latest versions:
You may find it helpful to have more than one browser installed on your computer. If you experience problems using Kaplan’s online learning system, try using another browser.
Browser settings and supportFor the best user experience at Kaplan’s online learning system, select the following browser settings:
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:
You can search for the specific subject you are wishing to enrol into 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, 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 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. Individuals 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 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
1300 728 505