ASIC Compliance
In Australia, ASIC is focusing on rebuilding and maintaining confidence in our markets. ASIC has advised that it is pursuing surveillance and compliance with vigour and resources.
RG146 Compliance, RG105 Compliance
FEP is an ASIC Authorised Assessor for the purposes of RG146 and RG105, and is able to assist Responsible Managers, Compliance Officers and Financial Advisers to meet and satisfy ASIC’s compliance standards for training. FEP provides standard and bespoke compliance solutions
RG146 CFA® Gap Training
For those who have successfully completed Level 1 of the CFA® program, we offer a straightforward single-subject solution which allows you to gain ASIC Compliance in 5 knowledge areas. You only undertake a single exam and your initial compliance needs are met.
Continuing Education
RG146: Continuing Regulatory Training for Advisers New
To help those who provide advice meet ASIC’s continuing education requirement, Financial Education Professionals has developed an annual Regulatory Update.Upon successfully completion, you gain 10 CPD hours/ points.
Responsible Managers – AFSL New
Financial Education Professionals has developed a straightforward self-study program that allows you to meet your regulatory obligations and update your required knowledge to discharge your duties as an RM. Upon successfully completion, you gain 10 CPD hours/ points.
Responsible Managers – ACL
FEP also provides a program for Responsible Managers under an Australian Credit Licence (ACL) to obtain their full annual 20 Hours of CPD.
Compliance Officer Fundamentals
To ensure that your organisation remains compliant and appropriate procedures and policies are in place, it is critical that such responsibilities are entrusted to qualified and well informed compliance professionals. We offer an intensive program for compliance professionals with up to 3 years’ experience in the Australian regulatory environment and for those wishing to undertake a refresher program.
