deakinprime.com Deakin University CRICOS Provider Code: 00113B

FINANCIAL SERVICES COMPLIANCE TRAINING

DEAKINPRIME COMPLIANCE SUITEDeakinPrime offers financial organisations a suite of training products that meets all RG146 training requirements. This suite can be used as individual training products or as a complete training strategy to ensure compliance to ASIC requirements.

The product suite includes;

1. Diploma of Financial Planning

2. Tier 1 Accreditation

3. Tier 2 Accreditation

4. Continual Professional Development

DeakinPrime also understands the complexity and tiered nature of the RG146 requirements and can provide training and assessment options around the specific requirements of all financial advisers and representatives providing different levels of advice.

This isn’t limited to just the types of products but also to the type of advice including;

• No advice requirements (core knowledge only)

• General advice requirements (no skills required)

• Personal advice requirements (skills required)

DeakinPrime offers flexible arrangement and selection of these products to ensure the right training

program is designed to meet the needs of your organisation.

1— DIPLOMA OF FINANCIAL PLANNING

The DFP is aimed at advisers who wish to become Financial Planners and want a qualification. It covers Tier 1 compliance (where it includes the products on which they will advise).

a. Module 1: Introduction to financial planning

b. Module 2: Risk management and insurance planning

c. Module 3: Investment planning

d. Module 4: Wealth creation and retirement planning

DELIVERY METHOD• Distance education only

2—RG146 TIER 1 (DIPLOMA LEVEL) The Tier 1 program is for those who may not require a full Diploma of Financial Management but are required to provide advice on Tier 1 products.

Module topics

a. General knowledge (core)

b. Special knowledge

i. Managed investmentsii. Derivativesiii. Securitiesiv. Superannuationv. Life insurance (risk)vi. Financial planningvii. Foreign exchangeviii. Margin lending

c. Required skills

DELIVERY METHOD• Self-paced (printable materials with an online guide)

• Workshops

The diploma of financialplanning provides Tier 1 accreditation and givesan entry level qualification tothose beginninga career in Financial Planning.

DIPLOMA OFFINANCIALPLANNING

RG 146TIER 2

RG 146TIER 1

ONGOINGFINANCIAL CPD

PROGRAM

RG 146COMPLIANCE

Provides compliance forthose giving personaland general advise on

Tier 2 products.

Provides relevantreliable

industry specific knowledge

training, that is recognised by many

industry associations.

Provides ASIC Compliancefor those providinggeneral and personal adviceon Tier 1 products.

DEAKINPRIME’S RG146 COMPLIANCE OFFERING

3—RG146 TIER 2 (CERT III LEVEL) The Tier 2 program is required for any adviser or representative who provides advice on Tier 2 products to retail customers. For financial organisations, any staff who deal directly with retail clients are required to be accredited.

Module topics

A. General knowledge

B. Special knowledge

i. General insuranceii. Basic depositsiii. Non-cash paymentsiv. Consumer credit insurance

c. Skills

DELIVERY METHOD• Online

• Distance education

4— CONTINUAL PROFESSIONAL DEVELOPMENT PROGRAM (CPD)

The CPD will provide monthly elearning modules that, when completed, award the participant a predetermined number of ‘hours’.

Module topics

1. Generic knowledge

2. Financial planning

3. Securities

4. Derivatives

5. Management investments

6. Superannuation

7. Insurance

8. Deposits/non-cash payments

9. Foreign exchange

10. Margin lending

11. Skills

12. Credit

DELIVERY METHOD• Managed service

DeakinPrime provides monthly CPD updates across all topic areas through the DeakinPrime LMS. This managed service also provides tracking for other CPD material and content such as seminar attendance.

• Content library DeakinPrime provides SCORM-compliant elearning modules to clients who wish to host the content on their own LMS platform.

WHY DEAKINPRIMEDeakinPrime seeks to provide its clients with more than just compliance training – more than just ticking a box. As part of Deakin University, one of Australia’s largest and most respected providers of tertiary education, DeakinPrime looks to add value and provide development as the key outcome. Core areas of value that DeakinPrime brings include:

• Ensuring that CPD material adds value—rather than just ticking a box. Advisers and representatives have to spend a lot of time keeping up to date with industry and legislative changes, so it is important that the time they invest is used productively to ensure development and increased productivity. DeakinPrime’s CPD offering has been sourced and developed from industry and association bodies who are dedicated to creating CPD material that develops and builds the knowledge and ability of candidates.

• Using CPD training towards accredited learning pathways. Using the time invested and training completed by advisers, DeakinPrime can customise and tailor CPD offerings that accumulate and build towards accredited training through accredited learning pathways. Staff and candidates can slowly work their way through learning plans, Certificate IV or Diploma level qualifications through their required CPD hours.

• Flexible assessment strategies. Depending upon the requirements of their role, candidates may only be required to provide general advice, not personal advice. DeakinPrime offers flexible assessments strategies that allow candidates to complete the training requirements and assessment requirements that meet their needs.

deakinprime.com

DeakinPrime Level 3, 550 Bourke Street Melbourne Victoria 3000 t +61 3 9918 9000 e info@deakinprime.com

Published by DeakinPrime, a division of Deakin University, © 2013. While the information published in this brochure was accurate at the time of publication, DeakinPrime reserves the right to alter or amend content published here.

For the most up-to-date information, please visit our website at deakinprime.com.

Deakin University CRICOS Provider Code: 00113B

INSPIRING WORLDLY IDEAS.

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