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.