Supervising the Professional Year

This short course supports experienced financial advisers to confidently supervise Professional Year (PY) candidates. It focuses on regulatory obligations, PY plan design, supervision responsibilities and practical strategies to mentor candidates, while meeting compliance and record-keeping requirements.

Learning outcomes

There are two modules in this course, both covering the following learning outcomes:

• • Explain the purpose, key roles and regulatory requirements of the PY

• • Design and manage a compliant PY plan (PYP) in collaboration with candidates and the licensee

• • Identify and describe the expectations, milestones and record-keeping requirements across each quarter

• • Explain the supervisor’s role of mentor and compliance gatekeeper in the PY

• • Evaluate ASIC’s findings and common challenges to strengthen supervision and candidate development practices.

Who is this short course suitable for?

• • PY mentors and supervisors

• • Small financial advice licensees

• • Large licensee organisations

Price: $95 per person (GST inclusive). Corporate rates available on request.

Duration: Total approximately two (2) hours.

This short course comprises of two (2) modules. Each module takes approximately 45-60 minutes to complete, including interactive activities and knowledge checks.

Assessment: There is an assessment to be completed for each module. Each assessment contains eight (8) questions with a 75% pass rate.

This course is accredited for Regulatory compliance and consumer protection – 1.45 hours with the Financial Advice Association Australia (FAAA).

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

Understanding privacy obligations is critical in today’s data-driven and high-risk environment. This concise two-hour course explores the Privacy Act 1988 and the Australian Privacy Principles, the distinction between personal and sensitive information, and the growing regulatory and operational risks associated with data breaches. Through practical examples and real-world case studies, participants will learn how to manage information securely across its lifecycle and strengthen organisational privacy practices.

Duration: approximately 2 hours to complete both modules

Module completion time: Each of the two (2) modules takes approximately 60 minutes to complete including interactive activities and knowledge checks

Assessment: There is an assessment to be completed for each module. Each assessment contains 8 questions with a 75% pass rate.

This course is accredited for FAAA (General, Subtopic: Regulatory environment) and CPA Australia.

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

Digital technologies are now embedded in almost every aspect of work and daily life. Laptops, smartphones, tablets and cloud-based platforms enable constant connectivity, rapid information sharing and the growing use of artificial intelligence to support decision-making and productivity. While these technologies deliver significant benefits, they also increase exposure to information security risks. Modern devices and systems routinely store or provide access to sensitive personal and business information, including passwords, emails, financial details, customer data and social media accounts.

As digital ecosystems become more interconnected, a single lapse in security can have far-reaching consequences. Data breaches may result in financial loss, reputational damage, operational disruption and, in some cases, legal and regulatory consequences. The widespread use of cloud services, remote access and AI-enabled applications further underscores the importance of understanding how data can be compromised and how risks can be reduced. Effective information security relies not only on technology, but also on informed user behaviour and adherence to appropriate workplace policies and processes.

Duration: One (1) hour

Assessment: A short assessment to be completed at the end of the module. The assessment contains eight (8) questions with 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)