ASIC Compliance

In Australia, under the Corporations Act, individuals wishing to provide financial product advice to retail clients are required to meet initial and ongoing educational requirements as outlined in ASIC Regulatory Guideline 146 (RG 146). While credit license holders need to ensure that their representatives are adequately trained, as set out in the ASIC Regulatory Guide 206 (RG 206).

Need help navigating FASEA's professional standards for existing financial advisers? Find out more >

Our FNS40115 Certificate IV in Credit Management is ideal for new entrants working for Australian credit licensees (ACLs).

To find out more, please call one of our Course Advisers on 1300 662 203 (select option 1).

Kaplan provides training and education solutions that can be tailored to your individual business needs. If your organisation requires Tier 1 compliance or Tier 2 compliance you should speak to one of our Corporate Solutions Representatives and find out what customised solutions we can provide.

To find out more, speak to one of our Corporate Solutions Representatives on 1300 728 505.

Our FNS40815 Certificate IV in Finance and Mortgage Broking is for those wanting a career in the finance and mortgage broking industry.

To find out more, please call one of our Course Advisers on 1300 662 203 (select option 1).

Online RG146 Courses

FNS50615
Diploma of Financial Planning


Entry-level qualification for an individual seeking to pursue a career in the financial services industry.

FNS50615
Diploma of Financial Planning – TASA package


This bundle package is tailored for new entrants to the industry and enables you to satisfy the educational requirements to become RG 146 and TASA compliant in the areas you will be required to provide advice.

FNS60415
Advanced Diploma of Financial Planning


Builds upon the competencies gained in FNS60415 Diploma of Financial Planning. Ideal course for senior planners that provides a comprehensive range of financial planning services across a variety of product environments, including those involving complex issues, innovative strategies and successful client engagement.

Online RG206 Courses

FNS40815
Certificate IV in Finance and Mortgage Broking


Entry-level qualification for individuals starting a career in Finance and Mortgage Broking.

FNS50315
Diploma of Finance and Mortgage Broking Management
Higher-level qualification for individuals starting a career in Finance and Mortgage Broking. Provides minimum requirement for MFAA membership.
FNS40115
Certificate IV in Credit Management
Entry-level qualification that meets the minimum education standard for responsible managers and credit representatives as set out in ASIC RG 206.

Online ASX Courses

Accredited Derivatives Adviser Level 1 (ADA1)

Designed for those intending to provide advice on ASX exchange-traded options and warrants.

Accredited Derivatives Adviser Level 2 (ADA2)

Designed for those seeking to expand their trading experience to the Australian options market.