RG146 Compliance Solution - Module 3. Investments - 2017 Workshop

CPD hours: 40 on successful completion

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.

It consists of four modules plus an optional specialist assessment in advising in self-managed super funds (SMSFs). It has been designed to address the competency requirements outlined in the ASIC Regulatory Guide 146 (RG146) for practitioners wishing to provide specialist financial planning advice to their clients in the areas of financial planning, general and life insurance, securities, derivatives, margin lending, managed investments, superannuation and SMSFs.

The RG146 Module 3. Investments addresses the ASIC compliance areas of securities, derivatives, managed investments and margin lending. While choices of investment products are made at the last stage of providing comprehensive financial advice, an understanding of the types of investment products available, and how they relate is needed.

CPA Australia strongly advises that candidates have a Year 12 or equivalent comprehension level of language, literacy and numeracy skills in order to undertake this program.

What does it cover?

This two-day workshop takes you through the learning material and prepares you for the assessment tasks, which must be submitted six weeks following the workshop. Registration should be confirmed no later than five business days before the start date of the workshop.

Can’t find a date that suits you?

We can advise you of new workshop dates as they become available. Email your details to rto@cpaaustralia.com.au.


Each module consists of a written and oral assessment, which is conducted over the telephone at a time convenient for you.  The assessment is designed to enable you to demonstrate proficiency against the units of competency necessary to achieve ASIC RG146 compliance.

Each module can be completed via self-paced distance learning or through two day intensive workshop in the order and mode that suits you best. 

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

Pre-reading requirements for this workshop are outlined in the ‘Workshop Pre-Reading & Important Information’ document under ‘Reference Materials’

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


• 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


2 days