Financial Services CPD

Financial Services continuing training

Stay up to date about industry developments and regulatory requirements.

Being confident that you and your employees are participating in regular, ongoing training is not just good for business – it’s also a compliance requirement for AFS and Credit licensees.

About our Financial Services CPD

Effectively manage, record and report your CPD obligations

Our Financial Services CPD library offers financial participants and organisations a complete online solution to satisfy ASIC’s RG146 general advice ongoing education requirements. What’s more, our subjects are carefully designed and regularly updated.

Our CPD library also suits professionals in ancillary and oversight roles, HR, risk and compliance, and marketing, who need to stay up to date about industry developments and regulatory requirements.

We understand that other roles and financial workplaces do not need to comply with RG146 but use it as a framework to meet the general licence requirement to be adequately trained and competent (under RG104 and RG146.34-35).

ASIC requires licensees to implement policies and procedures that ensure they and their authorised representatives are undertaking continuing training. The purpose of this training is to maintain and update the knowledge and skills that are appropriate for their activities.

Continuing training is essential to ensure advisers maintain their competence. This is particularly so because of rapidly changing markets and regulatory requirements.(RG146.123)

Our CPD library gives you the flexibility to study just the areas you need.

Our Financial Services CPD includes:

  • Engaging and informative CPD topics from a dynamic library delivered across the CPD year
  • Option to select from a mix of generic knowledge, regulation, and product-specific topics
  • Live CPD webinars across the year
  • Certificate of Attainment for each completed CPD topic. Available to download anytime
  • Financial Year or Calendar year subscription
  • Comprehensive features: All the essential tools including manager access, reporting, and visibility into your team’s progress.

Our CPD topics:

  • Include specific learning outcomes and formal assessments
  • Inspire learners to reflect and think critically
  • Support employee capability and engagement
  • Foster agility and resilience in evolving markets
  • Go beyond just explaining applicable rules and regulations.

Who is this course for?

  • Advisers and other staff who provide general advice to retail clients
  • Representatives who provide advice to wholesale clients
  • Professionals in ancillary and oversight roles, e.g. HR, risk and compliance, and marketing, who need to stay up to date about industry developments and regulatory requirements.

Program Content

Learning Outcomes

What you will learn

Who is this course for?

Units of Competency

Pre-requisite

Recognition of Prior Learning

Certification

Certificate of Attainment for each completed CPD topic. Available to download anytime

Explore our Financial Services CPD

Download Brochure

Frequently Asked Questions

Absolutely. Contact us to customise a training plan for your organisation. If you have questions about financial services regulation and what training is needed to satisfy requirements, information can be found in

ASIC has not prescribed a minimum number of hours per year that an adviser should spend on continuing training. This is because the time required will vary according to the adviser’s activities and level of experience. Licensees should nominate an appropriate figure, based on each adviser’s activities and experience. For guidance, you can look up what minimum hours relevant professional bodies have set for their members, while in our experience the industry standard is 20 CPD points/hours per year.

ASIC requires licensees to have in place policies and procedures to ensure that they and their advisers are undertaking continuing training. The purpose of this training is to maintain and update the knowledge and skills that are appropriate for their activities. It is essential because how markets operate and regulatory requirements can change rapidly. What should training policies and procedures include? Best practice tips for licensees include: (a) nominating a person who is responsible for continuing training (b) deciding how much training each adviser needs each year (c) establishing annual training plans for each adviser (d) keeping records of advisers’ training programs. Refer to ASIC’s Regulatory Guide 146 for detailed information.

To get started, either:
  • Purchase course/s online. (You can add multiple courses to the cart.) Please note: Online orders may take up to 1 business day to be processed and for your team to receive their course login details.
OR
Contact us for your Corporate Solution.

To get started, either
  • Purchase your course online. (If checking out for your team, you can add multiple courses to the cart.) OR
  • Contact Us to arrange an invoice
Please note: Online orders may take up to 1 business day to be processed and for you to receive your course login details.  
What will I learn in this workshop?2026-07-15T18:59:10+10:00

The workshop combines regulatory updates with practical compliance guidance, helping Responsible Managers better understand their obligations and strengthen their governance framework.

Topics include:

Credit regulation and licensing

Understand the current regulatory framework governing Australian Credit Licensees and ASIC’s expectations of Responsible Managers.

The role and responsibilities of a Responsible Manager

Explore what ASIC expects Responsible Managers to do in practice and how to effectively discharge your responsibilities.

Regulatory priorities

Understand the emerging issues and compliance risks currently attracting regulatory attention.

Recent ASIC regulatory outcomes

Review recent enforcement actions and regulatory outcomes with a focus on the role Responsible Managers played – and the lessons every licensee should learn.

Accountability and governance

Strengthen your oversight, governance and compliance framework through practical examples and proven approaches.

Managing your ongoing obligations

Learn practical tips for staying across your obligations, maintaining effective records and meeting your reporting responsibilities.

Financial Education Professionals acknowledges the Traditional Owners of Country throughout Australia. We pay our respects to Elders past, present and emerging.