If you are …
Asset Managers, Asset Consultants & Investment Bankers
If your organisation is licensed by ASIC to provide General Advice, the persons that you authorise to communicate with financial planners and groups of private investors must meet ASIC’s RG 146 requirements:
- Initial Training and Assessment and Continuing Training (click here)
- CFA® RG 146 Gap Training Program (click here)
Financial Advisers
If your organisation is licensed by ASIC to provide Personal Advice, the persons that you authorise must meet ASIC’s RG 146 requirements:
- Initial Training and Assessment and Continuing Training (click here)
- CFA® RG 146 Gap Training Program (click here)
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 Continuing Education Training, click here
- For Continuing Education Training Workshops, click here
Staff Authorised under your Australian Financial Services Licence
If your organisation is licensed by ASIC to provide General 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 9252 7437.
Compliance Managers
Compliance Manager Training
If your Compliance Managers have limited experience in the financial services industry and require professional training click for details.
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 Risk Management Training, click here
- For licensing Continuing Training Workshops, click here
- For Continuing Training for Responsible Managers, 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 9252 7437.
Custody staff
Custody staff working in custodial services and developing their careers in this professional area take the new Australian Custodial Services Association (ACSA) Accredited Program.
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).
Risk Management staff
Staff working in risk management in banks, investment banks and asset managers can take our online risk management series
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.
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.
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:
- Initial Training and Assessment and Continuing Training (click here)
- CFA® RG 146 Gap Training Program (click here)
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
Custody staff
Custody staff working in custodial services and developing their careers in this professional area take the new Australian Custodial Services Association (ACSA) Accredited Program.
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).
Risk Management staff
Staff working in risk management in banks, investment banks and fund managers can take our online risk management series.
New Staff
If you have employees who are new to the financial services industry and who need to understand what the industry does and how it works enrol them in our Introduction to Financial Markets course.
