ASIC Compliance

From 1 January 2019, FASEA’s 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 FASEA’s new professional standards requirements.

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

These courses are for existing advisers that provide financial products (other than; basic banking products, general insurance products, consumer credit insurance and a combination of any of those products), and provide personal advice to retail clients.

With the commencement of FASEA’s professional standards reforms on 1 January 2019, the no-action position set out in Media Release 13-149MR ASIC consults on enhancements to training standards (24 June 2013) will remain relevant:

a. for existing providers until 1 January 2021; and
b. for individuals who provide general advice, or personal advice on basic banking products, general insurance or consumer credit insurance, and individuals who provide financial product advice in relation to a time-sharing scheme, until ASIC considers its policy in relation to these advisers.

Existing advisers should consult their Licensee for approval if they want to provide advise in specific knowledge areas.


Tier 1 Compliance Solution – Derivatives >

Tier 1 Compliance Solution – Financial Planning >

Tier 1 Compliance Solution – Foreign Exchange >

Tier 1 Compliance Solution – Generic Knowledge >

Tier 1 Compliance Solution – General Insurance >

Tier 1 Compliance Solution – Insurance Broking >

Tier 1 Compliance Solution – Life Insurance >

Tier 1 Compliance Solution – Managed Investments >

Tier 1 Compliance Solution – Margin Lending >

Tier 1 Compliance Solution – Securities >

Tier 1 Compliance Solution – Securities and Managed Investments >

Tier 1 Compliance Solution – Superannuation >

Online training program designed for corporate organisations who require employees to hold accreditation in general or personal advice in cash and deposit and/or general insurance.


Tier 2 Compliance Solution – RG146 Accreditation Program >

FNS50615
Diploma of Financial Planning


The Kaplan Professional FNS50615 Diploma of Financial Planning program combines introductory specialist knowledge and financial planning skills to prepare individuals for entry into the financial planning industry. This program also provides a pathway into the Kaplan Professional Graduate Diploma of Financial Planning.

FNS50615
Diploma of Financial Planning – TASA package


The Kaplan Professional FNS50615 Diploma of Financial Planning program combines introductory specialist knowledge and financial planning skills to prepare individuals for entry into the financial planning industry. It also provides the educational requirements for financial planners to become TASA compliant. This program also provides a pathway into the Kaplan Professional Graduate Diploma of Financial Planning.

FNS60415
Advanced Diploma of Financial Planning

Kaplan’s Professional’s FNS60415 Advanced Diploma of Financial Planning builds upon the competencies gained in the FNS50615 Diploma of Financial Planning. This qualification is ideal for individuals wanting to learn a comprehensive range of financial planning services across a variety of product environments, including those involving complex issues, innovative strategies and successful client engagement.

This program also provides a pathway into the Kaplan Professional Graduate Diploma of Financial Planning.

 

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.