If you are ...
Asset Managers & Investment Bankers
If your organisation is licensed by ASIC to provide Advice, the persons that you authorise to communicate with financial planners and groups of private investors must meet ASIC’s RG 146 requirements:Financial Advisers
If your organisation is licensed by ASIC to provide Advice, the persons that you authorise to communicate with financial planners and groups of private investors must meet ASIC’s RG 146 requirements:Responsible Managers
Responsible Managers are responsible to ensure that all requirements of your Australian Financial Services Licence are met.
Replacing Responsible Managers or adding new Responsible Managers
- If you are replacing Responsible Managers or adding new Responsible Managers to your AFSL, click here.
Continuing Training
To ensure that all of your Responsible Managers "maintain and update their expertise" as one of the conditions of your licence ...- For Online Training , click here
- For regular Continuing Training Workshops, click here
Staff Authorised under your Australian Financial Services Licence
If your organisation is licensed by ASIC to provide Advice, the persons that you authorise to communicate with financial planners and groups of private investors must meet ASIC’s RG 146 requirements: For your other Compliance Training or Assessment needs, call Joan Street at 02 9222 9330.Compliance Managers
Replacing Responsible Managers or adding new Responsible Managers
- If you are replacing Responsible Managers or adding new Responsible Managers to your AFSL, click here.
Continuing Training
To ensure that all of your Responsible Managers "maintain and update their expertise" as one of the conditions of your licence ...- For Online Training , click here
- For regular Continuing Training Workshops, click here
Staff Authorised under your Australian Financial Services Licence
If your organisation is licensed by ASIC to provide Advice, the persons that you authorise to communicate with financial planners and groups of private investors must meet ASIC’s RG 146 requirements: For your other Compliance Training or Assessment needs, call Joan Street at 02 9222 9330.Operations staff
Investment Operations staff
Staff working in the Australian or global operations areas of investment banks, banks, registries and asset managers take the International Investment Administration Qualification (International IAQ).Treasury Operations staff
Staff working in the Australian or global treasury and capital markets operations areas of investment banks, banks, government borrowing authorities take the International Investment Administration Qualification (International IAQ).Custody staff
Staff of custodians take the International Investment Administration Qualification (International IAQ).New Industry Entrants
If you are new to the financial services industry and need to understand what it does and how it works take our Introduction to Financial Markets course. Alternatively study one of our new Self-study Introductory Courses:Training Managers
Are you new to the industry?
If you are a Training Manager who is new to the financial services industry and need to understand what it does and how it works take our Introduction to Financial Markets course.Learn the functions of the various professionals and support staff in your organisation to enable you to better achieve your work objectives.
Alternatively study one of our new Self-study Introductory Courses:Staff Authorised under your Australian Financial Services Licence
If your organisation is licensed by ASIC to provide Advice, the persons that you authorise to communicate with financial planners and groups of private investors must meet ASIC’s RG 146 requirements:Replacing Responsible Managers or adding new Responsible Managers
- If you are replacing Responsible Managers or adding new Responsible Managers to your AFSL, click here.
Continuing Training for Responsible Managers
To ensure that all of your Responsible Managers "maintain and update their expertise" as one of the conditions of your licence …...- For Online Training , click here
- For regular Briefing Workshops, click here