Tier 1 CFA Gap Program

About our Chartered Financial Analyst (CFA®) Training Program

The CFA® Gap program has been specifically designed for those who have successfully completed Level 1 (or higher) of the Chartered Financial Analyst (CFA®) program.

It covers those areas of knowledge required to achieve RG 146 compliance that are not covered by Level 1 of the CFA® program.

Successful completion of the RG 146 Gap Training Program for CFA® Charterholders provides RG 146 compliance to provide general advice in:

  • Tier 1 Securities
  • Tier 1 Managed Investments
  • Tier 1 Derivatives
  • Tier 1 Foreign Exchange

Entry Requirements

To qualify for admission into this gap program you are required to provide evidence that you have successfully completed at least Level 1 of the CFA®.

If your CFA® qualification was obtained more than 5 years ago, your application will also need to be accompanied by a CV showing 5 years relevant working experience in the last 8 years.

Applicants must provide satisfactory documentary evidence of completion at the time of application.

Please email enquiries@financialeducation.com.au with your evidence to confirm eligibility prior to enrolment.

Program Content

  • Topic 1: Financial services regulation and licensing
  • Topic 2: Operation of financial markets and the economy
  • Topic 3: Taxation of securities and managed investments
  • Topic 4: Application of cross-industry laws in financial services

Learning Outcomes

  • Explain why the financial services industry is regulated in Australia
  • Discuss the different types of financial services activities that are licensed in Australia
  • Describe the relationship between supply and demand and how these factors influence the prices of goods and services in the economy
  • Describe the four stages in the economic cycle and explain the impact of each stage on financial markets
  • Outline the importance of considering taxation when investing in securities, managed investments and crypto
  • Examine the various considerations an adviser must take into account when advising a client on taxation issues applying to securities and managed investments.
  • Discuss how Australian Consumer Law applies to financial services
  • Explain cross-industry legal principles that apply to financial services and the areas of industry practice they affect
  • Evaluate the role of compliance in the operation of a financial services organisation.

What you will learn

Who is this course for?

Units of Competency

Pre-requisite

Recognition of Prior Learning

Certification

On successful completion, participants will be awarded a Certificate of Attainment confirming they are RG146 compliant to provide general advice in the Tier 1 speciality areas of Securities, Derivatives, Managed Investments and Foreign Exchange.

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