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Investment Adviser Course
The Investment Adviser Knowledge & Skills course is designed for individuals who require authorisation by an Australian Financial Services License (AFSL) holder to provide advice on regulated Managed Investment products.
For existing authorised representatives, successful completion of this course allows you to extend your advisory range into Managed Investment products. Download Brochure »
Focused on your Success
We recognise that employers are increasingly looking for candidates who are aware of the challenges of being a successful financial adviser.
Often a candidate’s Qualification is the only evidence that they possess the technical knowledge and skills requirements to conduct themselves professionally as an authorised representative. Unfortunately, this can not be said for all training providers.
With a RG 146 Training Australia qualification you have confidence in the fact that you will be equipped with the skills and knowledge gained from a credible industry-endorsed program that employs best practice assessment standards, helping you graduate at the leading edge of your chosen field.
“RG146 Training Australia simply makes our lives easier. Their professional problem-solving approach allows us to focus on other parts of the business; safe in the knowledge that RG146 graduates have what is takes to provide our clients with sound and accurate advice.” Charles Cavallaro, Professional Development Coordinator, Asgard, Securitor, St George
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Course Outcome
The Investment Adviser course will equip you with the specialist knowledge and technical skills to provide compliant advice to clients on property ownership structures, listed property trusts, managed investment schemes, shares and fixed interest products
Who Should Enrol?
This course is suitable for:
- individuals seeking employment with Investment companies
- individuals engaged in the promotion of Managed Investments and Securities
- financial advisers seeking to enhance their advisory capability in Managed Investments and Securities
Course Entry Requirement
This is an open entry course with no pre-requisite qualifications. In order for participants to successfully complete this course, it is recommended they have a strong grasp of literacy and numeracy.
Course Structure
Competencies
Generic
- Industry Workplace Competency
- Communicate in the workplace
- Use technology in the workplace
- Apply health and safety practices in the workplac
- Sector Core Knowledge
- Analyse financial markets and information
- Comply with financial services legislation, industry and professional codes of practice
- Apply principles of professional practice to work in the financial services industry
- Provide general advice on financial products and services
Specialist Knowledge
-
- Provide advice in Investments
Content
Individuals seeking to provide Tier 1 compliant advice on regulated Insurance products, are required to successfully complete two courses. They include:
- Financial Advice (DFS 1) comprising Australian Industry Essentials and Advice Process, plus
- Investment Planning (DFS 4)
Financial Advice (DFS 1) course sets the foundation by teaching the financial advice process, which is reinforced in the Investment Planning (DFS 4) course.
- General Advice candidates are required to only undertake assessment for Australian Industry Essentials within the DFS 1 course plus DFS 4 - Investment Planning.
- Personal Advice candidates are required to undertake assessment for Australian Industry Essential and Advice Process within the DFS 1 course plus DFS 4 - Investment Planning.
DFS1 - Financial Advice
Australian Industry Essentials
- Part 1 Australian Economy
- Part 2 Australian Financial Markets
- Part 3 Investment Funds
- Part 4 Regulatory Environment
- Part 5 Corporations Act
- Part 6 Licensees & Representatives
- Part 7 Legal Responsibilities of Representatives
Advice Process (Personal Advice competency)
- Establish Relationship with Client
- Identify Client Objectives and Financial Situation
- Analyse Client Objectives and Financial Situation
- Develop Strategies and Solutions
- Present Strategies and Negotiate Solutions
- Implement Agreed Plan
- Provide On-going Advice
DFS4 - Investment Planning
Specialist Area
- Introduction to Financial Markets
- Introduction to Managed Investments
- Securities - Money Market Investments
- Securities - The Bond Market
- Securities - Shares
- Securities - Property Securities
- Specialised Investments
- Constructing Portfolios
- Derivatives
- Use of Leverage
- Taxation Issues for Investors
- Conducting Research
Advice Process (Personal Advice Competency)
Skills Assessment
The Advice Process Skills Assessment is undertaken upon completion of the specialty subject(s)
- Establishing Client Relationship
- Identify Client Objectives & Financial Situation
- Analyse Client Objectives & Financial Situation
- Develop Strategies & Solutions
- Present Strategies & Solutions
- Implement Agreed Plan
- Provide On-going Advice
Assessment
This course is assessed via the completion of several activities, including short answer responses, knowledge-quizzes (closed book) and role play simulations of case studies.
Note – General Advice candidates do not require adviser skills and therefore are exempt from adviser skills assessments.
Course Options
Distance Learning
- No hidden costs
- Self-Paced
- Start any time
- Online assessment
- 1300 phone support
Workshop
- No hidden costs
- Interactive learning
- Experienced facilitators
- National Workshops
- Catering provided
Enrol Now
- Call 1300 306 146 to speak to one of our trained consultants, or
- Download an enrolment form
