Tier 1 Securities

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

RG146 Tier 1 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.

Program Content

  • Topic 1: Operation of securities markets
  • Topic 2: Types of securities products
  • Topic 3: Investment, portfolio management and risk
  • Topic 4: Taxation of securities and managed investments

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 Tier 1 Securities participants will be awarded a Certificate of Completion.

On successful completion of Generic Knowledge and Tier 1 Securities, you will be awarded a Certificate of Attainment confirming that you are RG 146 compliant to provide general advice in Securities.

Explore our RG146 Courses

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Frequently Asked Questions

We offer an online, modular approach, allowing you to study and complete one RG146 Tier 1 specialist knowledge area at a time. Our Tier 1 RG146 compliance programs:
  • Delivery: are online – self paced
  • Study time: depends on your current knowledge and experience however we estimate 10-20 hours of study.
  • Duration: up to 16 weeks - however experienced professionals can complete in less time.
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. 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. To provide general advice you must be authorised under an AFSL.

ASIC's training standards are sets of knowledge and (in some cases) skill requirements that must be satisfied by advisers before they give advice. Knowledge and skill requirements vary depending on:
  • whether the adviser gives general or personal advice; and
  • what products the adviser gives advice on.
  • Some products are classified as being Tier 1, while others are Tier 2
The knowledge requirements are set out in Appendix A of RG146 and the skill requirements are set out Appendix B.

To get started, either
  • Purchase your course online. (If checking out for your team, you can add multiple courses to the cart.) OR
  • Contact Us to arrange an invoice
Please note: Online orders may take up to 1 business day to be processed and for you to receive your course login details.  

To get started, either:
  • Purchase course/s online. (You can add multiple courses to the cart.) Please note: Online orders may take up to 1 business day to be processed and for your team to receive their course login details.
OR
Contact us for your Corporate Solution.
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.