Accredited Listed Product Adviser (ASX ALPA)

Kaplan Professional, together with the Australian Securities Exchange (ASX), offers the Accredited Listed Product Adviser (ALPA) program to help learners gain a detailed understanding of the characteristics of listed products in order to apply these to a wealth management strategy. The more you know about the types of products, the role they play in portfolio construction, and the strategies behind their use, the better you can support your clients’ wealth management goals.

The ALPA program focuses on the range of ASX products including equities, interest rate securities, listed managed investments and derivatives.

Topics covered

1. Understanding the market structure and operations
2. Equities and interest rate products
3. Derivatives
4. Managed investments
5. Portfolio construction

Learning outcomes

On completion of the course, you should be able to:

• Outline the processes and systems underlying the trading of securities on the ASX
• Explain the different types of products listed on the ASX
• Understand the features of derivative products
• Explain managed investments and how they can be used
• Discuss portfolio construction and portfolio diversification

Who is this short course suitable for?

• Financial planners/advisers
• Accountants
• Paraplanners
• SMSF specialists

Price: $395 per person

Duration: Six (6) hours

Assessment: Multiple-choice assessment at the end of each module (eight [8] questions per module). Each assessment has two (2) attempts and a 75% pass rate.

On completion of the short course, you’ll receive a certificate of completion and be eligible to receive a digital badge.

Superannuation Industry Induction

This course introduces superannuation and the superannuation industry. The superannuation industry is an important and major component of the Australian financial services sector, and it is essential to understand the role it plays. Superannuation is also an important savings tool for all Australians’ retirement planning.

Gain a good understanding of the types of superannuation funds, how superannuation is structured and the rules and options for contributing to, investing in, and withdrawing funds from superannuation.

Duration: 1 hour

Assessment: No separate assessment will be required. Where applicable, assessments are embedded within the course to be completed as the learner progresses.

Price: $137.50 (GST inclusive) per person

Understanding Financial Markets

This short course is designed as an induction course for new entrants to the financial services industry. It provides a comprehensive understanding of the operations of the industry, the financial products used within the industry, and the markets for these products.

Modules covered

• Australian financial markets
• Asset classes and financial products
• Factors that affect financial markets
• Global financial markets

Duration: Four (4) modules. One (1) hour for each module. Total duration four (4) hours.

Assessment:  A short assessment must be completed for each module. Each assessment has a 75% pass rate.

Price: $235 per person (corporate rates available)

Responsible Manager Training for General Financial Services

Kaplan Professional’s 100% online Responsible Manager short courses are ideal for financial services organisations who need to manage their Responsible Managers’ continuing professional development (CPD) obligations. Whether you require induction training for new Responsible Managers, or ongoing or refresher training for existing Responsible Managers, our purpose-built short courses and forums can assist with your licensing duties.

The Responsible Manager (General Financial Services) short course considers the role and responsibilities of Responsible Managers within their organisations and the industry more broadly. Throughout the 8 modules, the short course will:

• Discuss the regulatory landscape and the role of key regulators
• Examine recent updates to legislation and regulation
• Discuss the obligations of responsible managers (RMs) regarding the issue of personal and general advice
• Explore current rules and potential amendments to wholesale client eligibility rules.

Duration: The Responsible Manager (General Financial Services) short course comprises of 8 digital modules, providing six (6) CPD hours/points.

Assessment: The assessment for each module comprises eight (8) questions and requires 75% to pass. On successful completion of all course modules, learners will receive a certificate of completion and be eligible to receive a digital badge.

Price: $525 per person

Responsible Manager (Credit)

Designed for Australian Credit Licence (ACL) Responsible Managers, this short course outlines the key duties and operational considerations associated with credit products and customer outcomes.

It addresses the governance practices, risk controls and monitoring processes needed to ensure effective management of credit activities and support licence-related responsibilities.

Duration: The Responsible Manager (Credit) short course comprises of 10 digital modules, providing eight (8) CPD hours/points.

Assessment: The assessment for each module comprises eight (8) questions and requires 75% to pass. On successful completion of all course modules, learners will receive a certificate of completion and be eligible to receive a digital badge.

Price: $525 per person

Privacy and Data Protection

This concise, one-hour module provides an overview of the Privacy Act 1988 and its key considerations in today’s digital landscape.

It examines the distinction between personal and sensitive information, the implications of data breaches on organisations and individuals, and essential privacy obligations under legislation.

Through recent case studies and best-practice examples, participants will explore effective strategies for managing and protecting data.

Duration: One (1) hour

Assessment: A short assessment must be completed for each module. Each assessment has a 75% pass rate.

Price: $60 per person (corporate rates available)

Modern Slavery Act

This one-hour compliance training module provides a practical overview of Australia’s Modern Slavery Act 2018 and its impact on financial services. Participants will explore what constitutes modern slavery, who must report under the legislation, and how to meet mandatory reporting obligations.

The course also covers how to identify and respond to human rights risks, manage supplier and investment relationships, and strengthen organisational compliance with modern slavery reporting requirements.

Duration: One (1) hour

Assessment: A short assessment must be completed for each module. Each assessment has a 75% pass rate.

Price: $60 per person (corporate rates available)

Information Security Awareness

Information security awareness is a critical component of organisational compliance and risk management. Every employee has a responsibility to safeguard data and remain alert to suspicious activity that may indicate a cybersecurity threat. Failure to protect work systems and sensitive information can result in serious financial, operational and legal consequences.

This one-hour module provides an overview of common cyber threats, including phishing and malware, and examines the causes and impacts of data breaches. It also outlines the controls, policies and best-practice behaviours that help reduce the risk of a breach and support compliance with organisational and regulatory requirements.

Duration: One (1) hour

Assessment: A short assessment to be completed at the end of the module. The assessment has a 75% pass rate.

Price: $60 per person (corporate rates available)

Funds Management Markets and Products

Gain a foundational understanding of Australia’s funds management industry, one of the largest and most highly regulated in the world.

This short course introduces key market participants, investment concepts and regulatory frameworks to help new entrants confidently navigate both retail and wholesale markets.

Duration: Each of the four (4) modules will take one (1) hour each. Total duration is four (4) hours.

Assessment: A short assessment must be completed for each module. Each assessment has a 75% pass rate.

Price: $235 per person (corporate rates available)

Financial Statement Fundamentals

The Financial Statements short course provides a practical foundation for understanding and interpreting the three main financial statements — the statement of financial position, the statement of profit or loss, and the statement of cash flows.

Participants learn how to analyse financial performance through ratio analysis, assess a company’s financial position, and apply key accounting concepts such as accrual accounting, profit and cash flow.

The course is ideal for non-finance professionals seeking to build confidence in reading and interpreting financial statements and reports.

Duration: Each of the four (4) modules will take one (1) hour each. Total duration is four (4) hours.

Assessment: A Certificate of Completion is awarded on successful completion.

Price:  $475 per person