Providing and advising on retail OTC derivatives

What are retail OTC derivatives?

Retail over-the-counter (OTC) derivatives are financial instruments whose value is derived from an underlying asset, such as foreign exchange, shares, indices, commodities or interest rates. These products – including margin FX and contracts for difference (CFDs) – are typically traded directly between counterparties rather than on an exchange.

While retail OTC derivatives can provide opportunities to profit from short-term price movements, they are complex, highly leveraged and carry significant risks. Regulators, including ASIC, have increased their focus on improving consumer outcomes and strengthening oversight of these products in recent years.

About our online course

Our Providing and advising on retail OTC derivatives course explores how these products work, the risks involved, and the regulatory environment shaping their distribution and advice in Australia.

You will gain practical insights into the structure of the retail OTC derivatives market, current industry trends, and the obligations that apply to issuers, platforms and advisers when dealing with retail clients.

Program Content

  • Retail OTC derivatives fundamentals - instruments, providers and market structure
  • Uses, risks and trading considerations, including foreign exchange and CFDs
  • ASIC regulatory framework, including key regulatory guides and obligations
  • Product intervention powers, enforcement trends and recent regulatory developments

Learning Outcomes

  • Identify the key instruments, providers and participants in the retail OTC derivatives sector
  • Explain the uses, risks and market dynamics of retail OTC derivatives trading
  • Outline the core legal and regulatory requirements governing these products in Australia
  • Evaluate how ASIC uses regulatory tools, guidance and enforcement to influence market conduct

What you will learn

Who is this course for?

  • Financial advisers and representatives
  • Compliance and risk professionals
  • Derivatives and trading specialists
  • Senior managers and responsible managers

Units of Competency

Pre-requisite

Recognition of Prior Learning

Certification

You will be awarded a Certificate of Completion. It will be available online for you to download and print immediately.

ASIC-supervised licensees: RG146 Derivatives
FAS-Supervised licensees (self-report): Technical competence

Explore our Financial Services CPD

Our short course topics are also included in our annual subscription Financial Services CPD library.

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Frequently Asked Questions

Our CPD short courses are self-paced with online learning resources & on-going support.
  • You have up to 8 weeks to complete the learning and assessment requirements for your CPD short course.
  • Experienced professionals can complete in less time.

Our CPD short courses are assessed by a short open book multiple-choice exam.

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.  

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.
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.