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Securities Adviser Course
The Securities Adviser Knowledge & Skills course is designed for individuals who require authorisation by an Australian Financial Services License (AFSL) holder to provide advice on regulated Securities products.
For existing authorised representatives, successful completion of this course allows you to extend your advisory range into Securities products.
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 Securities Adviser course will equip you with the specialist knowledge and technical skills to provide compliant advice to clients seeking to manage investment risk by using Securities products.
Who Should Enrol?
This course is suitable for:
- individuals seeking employment with Securities dealers
- individuals engaged in the promotion of Securities products
- financial advisers seeking to enhance their investment advisory capability
- asset consultants
- trustees and Responsible Managers with responsibility for securities portfolios
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 workplace
- 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 Securities
Content
Generic
- The economic and legislative environment
- Operation of financial markets and financial products
- Financial Services Industry workplace environment
Specialist Knowledge
- Operation of Securities markets
- Types of Securities products and their application
- Investment rRsk Management using Securities
- Taxation considerations
- Legal environment – disclosure and compliance considerations
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
