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).

The FNS50615 Diploma of Financial Planning course will provide you with RG 146 compliance and enable you to deliver:

  • Tier 1 general and personal advice across the following knowledge areas: Financial Planning, Superannuation, Life Insurance, Securities and Managed investments.
  • Tier 2: general advice in General Insurance and Deposit Products & Non-Cash Payment Products.

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

Click here to learn more about FASEA’s proposed standards >

Our Tier 1 compliance solutions enable you to specifically select short online courses in a particular knowledge area pertaining to your RG 146 requirement. You can enrol into the FNS50615 Diploma of Financial Planning course, which will provide you with compliance across multiple knowledge areas.

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

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).

Tier 1 compliance training enables you to select short online courses in a specific knowledge areas as set out on ASIC RG 146. These knowledge areas include: Generic Knowledge, Financial Planning, Superannuation, Life Insurance, Managed Investments, Securities, Derivatives, Margin Lending and Foreign Exchange.

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

Click here to learn more about FASEA’s proposed standards >

The Accountants’ SMSF Package has been designed to enable accountants to provide personal advice on superannuation and self-managed superannuation funds (SMSFs). If you require RG 146 compliance in additional knowledge areas, you should undertake subjects from the Kaplan Professional’s FNS50615 Diploma of Financial Planning.

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.