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
- awareness of taxation issues relating to securities
- 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.
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
Recognition of Prior Learning
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.