Financial Education Professionals is an Australian owned Registered Training Organisation (RTO Code 90725) providing specialist technical training and licensing compliance solutions for financial workplaces.
RG146 Securities describes the knowledge and skills required to analyse client needs and to deal ethically and professionally in securities, in compliance with industry regulations and codes of practice. It addresses the training requirements of current Australian Securities and Investments Commission (ASIC) and Australian financial services (AFS) licensing at Tier 1 level.
Existing RG146 compliant financial market dealers and brokers, and authorised representatives, can also complete this course to extend their advisory range into Tier 1 Securities.
To be RG146 compliant to provide General Advice in Tier 1 Securities, you must also successfully complete Generic Knowledge.
- 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.
- Operation of securities markets
- Types of products
- Investment, portfolio management and risk
- Taxation of securities
Recognition of Prior Learning
If you have completed Generic Knowledge in the past, we can recognise this prior learning on your certificate. Please send a copy of your transcript to email@example.com to check your eligibility.
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.
We estimate you will need approximately 20 hours study time to complete each subject. Each earning 20 hours/points.
Each course is offered by self study via our learning portal, FEP Online. It provides you with online learning resources, support and assessment.
You have 8 weeks from your enrolment date in which to complete each course.
For each course, there is one (1) open-book knowledge examination comprising of forty (40) multiple choice questions. You are given two (2) attempts with a required 80% pass mark. A practice assessment is available to you.
Note that representatives and advisers providing personal advice to retail clients in securities must now meet FASEA education and continuing professional development standards.