The RG146 Compliance Solution program has been designed to address the competency requirements outlined in the ASIC Regulatory Guide 146 (RG146).
Description
CPD hours: 40 on successful completion
Important notice: With new educational requirements due to come into effect on 1 January 2019, ensure you complete your RG146 Compliance Solution program which meets the current training requirements. If you are an existing licenced financial adviser as at 31 December 2018, you will be able to take advantage of transitional arrangements allowing you to meet the new educational requirements.
The RG146 Compliance Solution program will provide you the pathway to RG146 Compliance, the level of education required to become a financial adviser to provide financial advice to your clients.
CPA Australia strongly advises that candidates have a Year 12 or equivalent comprehension level of language, literacy and numeracy skills to undertake this program.
The RG146 Module 3. Investments identifies and explains the differences between the various styles of investment products and provides a basis of comparison between products to best advise the client. This module includes four ASIC compliance areas; securities (including both equity products and debt products), derivatives, managed investments and margin lending.
The self-paced learning option is offered year-round and there is no set enrolment period, meaning candidates can enrol any time, until enrolments close on 1 July 2018.
Assessment
To pass each module, you must complete an assessment consisting of a written assignment and a telephone role-play scenario. The assessment tasks are designed to enable you to demonstrate your skills and ability against the key areas of competency covered in each module.
This course is offered under CPA Australia’s RTO (CPA Australia Registered Training Organisation Number: 7144).
Further information can be found in the Candidate handbook (PDF) and our policies and forms page
Learning objectives
• How to discuss capacity with a client
• How to determine client requirements and expectations
• Provide appropriate and timely information advice to clients
• Conduct research to support recommendations
• Record and implement client instructions
Audience
• Members and non-members
• Financial planners or anyone wanting to pursue a career in financial planning
• Public accountants and their employees
• Anyone wanting to launch a career in this sector