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 (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)

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 (Credit) short course considers the role and responsibilities of Australian Credit Licence (ACL) Responsible Managers.

Throughout the 10 modules, this short course will:

• Examine recent legislative and regulatory updates in a credit context
• Explore the social impact and responsibilities of ACL Responsible Managers
• Consider topical issues facing the credit industry today
• Focus on the importance of consumer protection and enhancing the quality of credit activities

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

An understanding of the Privacy Act and the importance of data protection is essential for all employees. This thorough but concise, one-hour module explores the Privacy Act 1988, and how it has evolved and increased in significance over time with the continued evolution of technology and the sophistication of cybercrime. The module covers the difference between personal and sensitive information and other key considerations of privacy and data protection. It explores the implications of data breaches, key obligations under privacy legislation, recent case studies, and some best-practice approaches.

Topics covered

• The difference between personal and sensitive information
• Implications of data breaches
• Key obligations under privacy legislation
• Recent case studies
• Best-practice approaches

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

Australia’s Modern Slavery Act 2018 is the first national legislation to define modern slavery. The Modern Slavery Act 2018 obliges entities with more than $100 million in consolidated revenue to report on the risk of modern slavery occurring in supply lines or investments.

Given the inter-connectedness of modern business and the scale of modern slavery, it’s essential to understand what modern slavery is and how it impacts financial services. This thorough yet concise, one-hour module will discuss the Modern Slavery Act 2018, what it sets out to achieve, and how to identify human rights risks.  It will review who needs to report, the reporting requirements, how to work with suppliers/investees, and how to respond when modern slavery is identified.

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 essential. It’s important that everyone is vigilant for suspicious behaviour that could be an indication of cybersecurity threats. If employees don’t take care to ensure the security of their work devices and there’s a data breach, the result can be catastrophic losses, repercussions and legal consequences.

This thorough yet concise, one-hour module discusses data breaches and examines what can be done to reduce the risk of one occurring.

The impacts and consequences of some of the more common types of attacks, such as phishing and malware, are discussed to provide a more thorough understanding of what exactly can go wrong (and how to respond appropriately).

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

This short course is designed for new entrants to the funds management industry.

The Australian funds management industry is one of the largest in the world. However, with hundreds of managed products available, the industry can be bewildering for new entrants learning about the industry and how to approach their role.

Additionally, Australia has one of the most stringent regulatory regimes in the world. Understanding how managed funds are regulated is vital to appreciating how this dynamic industry operates.

There are four modules in this short course:

• Introduction to managed funds
• Overview of the legal and regulatory environment
• Characteristics of managed funds
• Superannuation

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

This short course is designed to enhance an individual’s understanding of the three main financial statements and linkages (namely the statement of financial position, the statement of profit or loss, and the statement of cash flows).

This information can be used for analysing financial performance by way of ratio analysis, the techniques used in analysing the financial position of a company and interpreting current and potential future performance.

Duration: Four (4) modules. Total five (5) hours duration.

A Certificate of Completion is awarded on successful completion.

Price:  $475 per person