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RG 146 will not apply to new entrants to the financial advice industry seeking to become a relevant provider from 1 January 2019. They will need to meet the Treasury’s professional standards for financial advisers.

If you’re a new or existing financial adviser looking to meet the professional standards for financial advisers, click here.

Tier 1 - General advice

 

Tier 1 Compliance Solution - Derivatives

This course introduces individuals to the concepts of derivatives as they apply to retail clients. The principles underpinning the foundations, regulation and risks associated with the derivatives industry are also covered.
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Tier 1 Compliance Solution - Financial Planning

Tier 1 Compliance Solution - Financial Planning provides individuals with the opportunity to develop the professional knowledge and skills (if required) to provide financial planning advice following a step–by–step process.
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Tier 1 Compliance Solution - Foreign Exchange

This course introduces individuals to the concepts of foreign exchange as they apply to retail clients. Individuals will learn how to analyse and evaluate foreign exchange markets and will gain an understanding of managing risk and tax requirements when dealing with retail client portfolios.
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Tier 1 Compliance Solution - Generic Knowledge

Tier 1 Generic Knowledge provides the generic knowledge component for all Tier 1 training and assessment requirements for individuals who provide general financial advice to retail clients.
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Tier 1 Compliance Solution - Insurance Broking

The course includes generic knowledge, core knowledge and specialist insurance knowledge, and meets the education requirements of ASIC Regulatory Guide 146 (RG 146) for providing general and personal advice with broking clients. This is an accredited Vocational Educational course with units of competency.
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Tier 1 Compliance Solution - Life Insurance

This course introduces individuals to the concepts of personal risk management as they apply to retail clients and considers the participants, products and regulation within the insurance industry. This is a non-accredited course.
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Tier 1 Compliance Solution - Managed Investments

Tier 1 Compliance Solution - Managed Investments introduces individuals to the concepts of managed investments as they apply to retail clients. The principles underpinning the foundation, structure, regulation and risks associated with the managed investment industry are also covered.
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Tier 1 Compliance Solution - Margin Lending

This course introduces individuals to the concepts of margin lending as they apply to retail clients. Students will learn how to analyse, evaluate and choose margin loans and gearing strategies, and will gain an understanding of managing risk when dealing with retail client portfolios.
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Tier 1 Compliance Solution - Securities

Tier 1 Compliance Solution - Securities introduces individuals to the concepts of securities as they apply to retail clients. The principles underpinning the foundations, regulation and risks associated with the securities industry are also covered.
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Tier 1 Compliance Solution - Superannuation

In Tier 1 Compliance Solution - Superannuation, individuals will be exposed to the characteristics of the superannuation industry in Australia and superannuation as a means of funding retirement.
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Tier 1 Compliance – Securities and Managed Investments

This course introduces students to the concepts of securities and managed investments as they apply to retail clients, while providing ASIC Regulatory Guide 146 (RG 146) compliance for providing general advice in securities and managed investments to retail clients.
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Kaplan Higher Education Pty Ltd trading as Kaplan Professional ABN 85 124 217 670 (PRV 12030)       

Kaplan Education Pty Ltd trading as Kaplan Professional ABN 54 089 002 371 (RTO 90116)