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.

Anti-money Laundering and Counter Terrorism Financing (Credit)

Kaplan Professional’s 100% online Anti-money Laundering and Counter Terrorism Financing short courses are designed to enhance an individual’s understanding of Australia’s anti-money laundering and terrorism financing laws, given they apply to financial services and what employees need to do to detect and comply with those laws. 

There are three versions of the Anti-money Laundering and Counter Terrorism Financing short course:

• Anti-money Laundering and Counter Terrorism Financing (General Financial Services)
• Anti-money Laundering and Counter Terrorism Financing (Financial Advice) 
• Anti-money Laundering and Counter Terrorism Financing (Credit)

Anti-money laundering and counter terrorism financing (Credit)

This version of the short course maps to the ‘Credit regulatory and compliance’ CPD topic area.

Learning outcomes

• Explain the origins, purpose and key obligations of the Anti-money Laundering and Counter Terrorism Financing Act on regulated businesses
• Define money laundering and terrorism financing, and explain the threats to the financial services sector
• Identify common types of money laundering and terrorism financing activities
• Discuss preventative measures for financial services businesses to remain vigilant in the fight against financial crime. 

Who is this short course suitable for?

• Support and operations staff
• Bank lenders and mortgage brokers
• Banking professionals (Tier 2)

There are two modules for each version of this short course:

Module 1: Anti-money laundering and counter terrorism financing obligations in Australia – discusses the origins and purpose of the Anti-money Laundering and Counter-Terrorism Financing Act 2006, and the obligations on regulated businesses.

Module 2: Recognising and combating financial crimes in Australia – explores common types of money laundering and terrorism financing activities. It includes real life case studies to demonstrate the implications, and preventative measures to remain vigilant in fighting financial crimes. 

Duration, assessment and price

Duration: 2 hours

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

Price: $95 per person (Corporate rates available)

Anti-money Laundering and Counter Terrorism Financing (Financial Advice) 

Kaplan Professional’s 100% online Anti-money Laundering and Counter Terrorism Financing short courses are designed to enhance an individual’s understanding of Australia’s anti-money laundering and terrorism financing laws, given they apply to financial services and what employees need to do to detect and comply with those laws. 

There are three versions of the Anti-money Laundering and Counter Terrorism Financing short course:

• Anti-money Laundering and Counter Terrorism Financing (General Financial Services)
• Anti-money Laundering and Counter Terrorism Financing (Credit)
• Anti-money Laundering and Counter Terrorism Financing (Financial Advice) 

Anti-money laundering and counter terrorism financing (Financial Advice) 

This version of the short course maps to the ‘Regulatory compliance and consumer protection’ CPD area. 

Learning outcomes

• Explain the origins, purpose and key obligations of the Anti-money Laundering and Counter Terrorism Financing Act on regulated businesses
• Define money laundering and terrorism financing, and explain the threats to the financial services sector
• Identify common types of money laundering and terrorism financing activities
• Discuss preventative measures for financial services businesses to remain vigilant in the fight against financial crime. 

Who is this short course suitable for?

• Financial advisers

There are two modules for each version of this short course:

Module 1: Anti-money laundering and counter terrorism financing obligations in Australia – discusses the origins and purpose of the Anti-money Laundering and Counter-Terrorism Financing Act 2006, and the obligations on regulated businesses.

Module 2: Recognising and combating financial crimes in Australia – explores common types of money laundering and terrorism financing activities. It includes real life case studies to demonstrate the implications, and preventative measures to remain vigilant in fighting financial crimes. 

Duration, assessment and price

Duration: 2 hours

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

Price: $95 per person (Corporate rates available)

Anti-money Laundering and Counter Terrorism Financing (General Financial Services)

Kaplan Professional’s 100% online Anti-money Laundering and Counter Terrorism Financing short courses are designed to enhance an individual’s understanding of Australia’s anti-money laundering and terrorism financing laws, given they apply to financial services and what employees need to do to detect and comply with those laws. 

There are three versions of the Anti-money Laundering and Counter Terrorism Financing short course:

• Anti-money Laundering and Counter Terrorism Financing (Financial Advice) 
• Anti-money Laundering and Counter Terrorism Financing (Credit)
• Anti-money Laundering and Counter Terrorism Financing (General Financial Services)

Anti-money laundering and counter terrorism financing (General Financial Services)

This version of the short course maps to the RG 146 knowledge area ‘Generic knowledge’. 

Learning outcomes

• Explain the origins, purpose and key obligations of the Anti-money Laundering and Counter Terrorism Financing Act on regulated businesses
• Define money laundering and terrorism financing, and explain the threats to the financial services sector
• Identify common types of money laundering and terrorism financing activities
• Discuss preventative measures for financial services businesses to remain vigilant in the fight against financial crime. 

Who is this short course suitable for?

• Support and operations staff
• Banking professionals (Tier 2)
• Managers
• Risk and compliance managers
• IT systems staff and business analysts

There are two modules for each version of this short course:

Module 1: Anti-money laundering and counter terrorism financing obligations in Australia – discusses the origins and purpose of the Anti-money Laundering and Counter-Terrorism Financing Act 2006, and the obligations on regulated businesses.

Module 2: Recognising and combating financial crimes in Australia – explores common types of money laundering and terrorism financing activities. It includes real life case studies to demonstrate the implications, and preventative measures to remain vigilant in fighting financial crimes. 

Duration, assessment and price

Duration: 2 hours

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

Price: $95 per person (Corporate rates available) 

Anti-money Laundering and Countering Financing of Terrorism (NZ)

This short course is designed to enhance an individual’s understanding of New Zealand’s anti-money laundering and terrorism financing laws, given they apply to financial services and what employees need to do to detect and comply with those laws.

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

• Explain the origins, purpose and key obligations of the Anti-money Laundering and Countering Financing of Terrorism Act 2009 on reporting entities
• Define money laundering and countering financing of terrorism, and explain the threats to the financial services sector
• Identify common types of money laundering and the financing of terrorism activities
• Discuss preventative measures for financial services businesses to remain vigilant in the fight against financial crime.

There are two modules in this short course: 

Module 1: Anti-money laundering and countering financing of terrorism (AML/CTF) obligations in New Zealand – discusses the origins and purpose of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009, and the obligations on reporting entities.

Module 2: Recognising and combating financial crimes in New Zealand – explores common types of money laundering and terrorism financing activities. It includes real-life case studies to demonstrate the implications and preventative measures to remain vigilant in fighting financial crimes.

Who is this short course suitable for:

• Financial advisers
• Financial services staff
• Lenders and mortgage brokers

Price: AUD$50 per person (Corporate rates available)

Duration: 2 hours

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

Compliance Training (Bullying in the Office)

Kaplan Professional’s Compliance Training enables you to deliver compliance and soft skills training to your organisation in an interactive and engaging way.

Developed in conjunction with one of Australia’s best e-learning consultants, leading corporate organisations and specialist legal firms, content is both legally approved and addresses the dynamic needs of businesses today.

Each digital module takes 20 to 30 minutes to complete, making it an efficient and effective medium to deliver training to employees. Modules can be purchased as a package or individually, depending on your individual or your organisation’s needs.

There are four compliance training modules available:

• Social Media
• Equity and Diversity
• Wellbeing in the Workplace
• Bullying in the Office

Learning outcomes

The Bullying in the Office module will educate you about bullying, the impact it has and your role in the workplace in preventing it.

Duration, assessment and price

Duration: 20-30 minutes per module

Price: $15.75 per person per module

Compliance Training (Equity and Diversity)

Kaplan Professional’s Compliance Training enables you to deliver compliance and soft skills training to your organisation in an interactive and engaging way.

Developed in conjunction with one of Australia’s best e-learning consultants, leading corporate organisations and specialist legal firms, content is both legally approved and addresses the dynamic needs of businesses today.

Each digital module takes 20 to 30 minutes to complete, making it an efficient and effective medium to deliver training to employees. Modules can be purchased as a package or individually, depending on your individual or your organisation’s needs.

There are four compliance training modules available:

• Social Media
• Wellbeing in the Workplace
• Bullying in the Office
• Equity and Diversity

Learning outcomes

The Equity and diversity module will challenge your attitude to equity and diversity. Completing this module will leave you encouraged to be a positive and active contributor to a flexible and fair workplace.

Duration, assessment and price

Duration: 20-30 minutes per module

Price: $15.75 per person per module

Compliance Training (Social media)

Kaplan Professional’s Compliance Training enables you to deliver compliance and soft skills training to your organisation in an interactive and engaging way.

Developed in conjunction with one of Australia’s best e-learning consultants, leading corporate organisations and specialist legal firms, content is both legally approved and addresses the dynamic needs of businesses today.

Each digital module takes 20 to 30 minutes to complete, making it an efficient and effective medium to deliver training to employees. Modules can be purchased as a package or individually, depending on your individual or your organisation’s needs.

There are four compliance training modules available:

• Wellbeing in the Workplace
• Equity and Diversity
• Bullying in the Office
• Social Media

Learning outcomes

The Social Media module will help you learn how to avoid the dangers of social media use for you and your organisation.

Duration, assessment and price

Duration: 20-30 minutes per module

Price: $15.75 per person per module

Empower Suite (The game of persuasion)

Kaplan Professional’s ‘Empower Suite’ of microlearning modules enables you to deliver soft skills training to your organisation in an interactive and engaging way.

Developed in conjunction with one of Australia’s best e-learning consultants, leading corporate organisations and specialist legal firms, content is both legally approved and addresses the dynamic needs of businesses today.

Each digital module takes 15 minutes to complete, making it an efficient and effective medium to deliver training to employees. Modules can be purchased as a package or individually, depending on your organisation’s needs.

Modules:

• The game of persuasion

Duration: 15 minutes per module

Price: $15.75 per module ($52.50 for all 5 modules)