RG146 Securities

Tier 1 RG 146 Securities

Our online course describes the knowledge and skills required to analyse client needs and to deal ethically and professionally in securities products. It addresses the training requirements of current Australian Securities and Investments Commission (ASIC) and Australian financial services (AFS) licensing at Tier 1 level.

To be RG146 compliant to provide general advice in Tier 1 RG 146 Securities, you must also successfully complete Generic Knowledge.

RG146 Securities can be studied as a short industry course under Responsible Manager Nomination Option 3, if this learning is specifically relevant to the sector or products the responsible manager’s role relates to (RG 105.69).

About our course

Explore securities products and markets characteristics, including shares, bank bills, commercial paper, bonds, structured products and crowdfunding.

Securities markets program content

Operation of securities markets

  • market participants
  • roles played by intermediaries

Types of products

  • range of securities
  • associated risks
  • investment options using securities product
  • alternative products (e.g. derivatives) (where relevant)

Theories of investment, portfolio management and management of investment and risk

  • investment concepts
  • investment strategies
  • identification of types of risk
  • client risk profile

Taxation

  • awareness of taxation issues relating to securities

Program Content

Learning Outcomes

  • Discuss how Australia’s financial markets operate and the roles played by its various participants
  • Describe the features and characteristics of commonly used securities products and how they are traded
  • Evaluate investment concepts and strategies used to earn returns and mitigate risks
  • Outline the tax implications of buying, selling and earning income from securities products.

What you will learn

Who is this course for?

  • Participants who require RG146 compliance to provide general advice on regulated Securities products (when completed with Generic Knowledge)
  • Representatives who advise wholesale clients or organisations seeking product-specific team training
  • Refresher training and/or CPD for existing RG146 compliant dealers and brokers
  • Participants seeking to extend their advisory range to include Securities
  • Participants needing to complete a relevant short industry course under Responsible Manager Nomination Option 3

Units of Competency

Pre-requisite

Recognition of Prior Learning

Certification

On successful completion of RG 146 Securities participants will be awarded a Certificate of Completion.

On successful completion of Generic Knowledge and Securities, participants will be awarded a Certificate of Attainment confirming that they are RG 146 compliant to provide general advice in Securities.

 

Enrol now and receive a 10% discount when you purchase 2 or more Tier 1 RG146 initial compliance courses. Use the code RG146bundle at checkout.

Explore our RG146 Securities

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Frequently Asked Questions

Our Tier 1 RG146 compliance programs
  • are entirely online - start anytime, anywhere
  • each have one (1) multiple choice assessment of forty (40) questions
  • exam has an 80% pass mark and you will have 3 attempts
  • study time all depends on your current knowledge and experience however we estimate 20 hours
  • are self-paced with online learning resources & on-going support
  • have up to 16 weeks to complete the learning and assessment requirements - however experienced professionals can complete in less time.
To meet relevant training standards at the Tier 1 level, you must complete both Generic Knowledge and the specialist knowledge area you intend to provide general advice in.

Under their Australian financial services licensing obligations, some firms are required to meet additional standards if any representatives give advice to retail clients (RG146). To assist AFS Licensees, we follow the syllabus prescribed by the Australian Securities and Investments Commission (ASIC) for each Tier 1 and Tier 2 specialist knowledge area. We are a Registered Training Organisation and an ASIC Authorised Assessor, so you can be assured that each RG146 course covers all the elements ASIC has specified advisers should learn. (RG 146.87).

Our RG146 Programs are self-paced with online learning resources & on-going support.
  • You have up to 16 weeks to complete the learning and assessment requirements for your Tier 1 RG146 Course.
  • You have up to 8 weeks to complete the learning and assessment requirements for your Tier 2 RG146 Course.
  • Experienced professionals can complete in less time.

  • The assessment is online, open-book and does not need to be supervised
  • If you are unsuccessful, you may repeat the assessment (2 attempts)
  • A practice assessment is available to you
 

Our courses, CPD and qualifications are 100% online, so you can start anytime, anywhere.
  • Either enrol online or
  • Contact Us to arrange an invoice for EFT or AMEX payments.

You can enrol your team either:
  • Enrol online or
  • Contact us to arrange an invoice.
Talk with us to develop your team training program.
What is RG206?2023-04-21T07:53:53+10:00

Regulatory Guide 206 Credit licensing: Competence and training (RG 206)

Credit licensees must comply with the organisational competence obligation in s47(1)(f) of the National Consumer Credit protection Act 2009 (National Credit Act). Regulatory Guide 206 Credit licensing: Competence and training (RG 206) sets out the minimum expectations for demonstrating organisational competence.

What you need to do to comply will depend on the nature, scale and complexity of your business. However, Regulatory Guide 206 Credit licensing: Competence and training (RG 206) sets out our minimum expectations for demonstrating organisational competence.

You must also ensure that your representatives are adequately trained and competent to engage in the credit activities authorised by your licence: s47(1)(g).

ASIC generally expects you to determine what is appropriate initial and ongoing training for your representatives and to embed this in your recruitment and training systems.

Updated annually, our CPD is designed to enable Responsible Managers and Representatives of Australian Credit Licensees to meet their mandatory RG206 continuing training requirement. Our CPD that is structured, properly assessed and recorded.

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