Core 1 – Securities & Managed Investments

SIAA’s Core 1 – Securities & Managed Investments course provides candidates with the specialist knowledge and skills relevant to the provision of financial product advice in securities and managed investments.

Learning outcomes

The Core 1 Securities & Managed Investments course focuses on the relevant market participants, product types, characteristics and applications. Attendees will walk away with a solid understanding of the following:

  • Asset classes and their use in investment portfolios
  • Investment manager styles and the use of alternative investment strategies and benchmarks
  • Introduction to basic techniques for analysing product performance and making investment and trading decisions in relation to product types
  • The benefits and risks associated with the different securities and managed investment products
  • The regulatory and taxation issues affecting the use of securities and managed investment products.

The Core 1: Securities and Managed Investments course addresses the ASIC training requirements for RG146 Tier 1 compliance for Generic Knowledge, Securities (General) and Managed Investments.

Candidates learn techniques for identifying and analysing client needs and objectives, developing a client risk profile, conducting relevant research and developing appropriate investment strategies to meet clients’ needs using securities and managed investment products.

For experienced client advisers, this section of the Core 1 Securities & Managed Investments course provides a useful refresher in preparation for the Statement of Advice to be completed as part of the assessment for the purposes of CPD. If claiming Professional Standards CPD, this course provides 25 hours Professional Standards CPD hours, the breakdown as follows: Technical competence 5 hours | Client care and practice 5 hours | Regulatory compliance and consumer protection 5 hours | Professionalism and ethics 9 hours | General 1 hour.

Who should complete the course?

This course is suitable for:

  • those employed in the securities and derivatives industry providing financial product advice in the course of their work (general advice) or who need an understanding of the industry in which they work
  • customer service representatives providing financial product advice in the course of their work
  • Responsible Managers
  • experienced practitioners for CPD purposes.

Assessment details

1x Assignment (80% pass mark)
1 x Online Exam (Closed Book, 60 questions, 2 hrs + 15 min reading time, 70% pass mark)

Suggested study hours

Allow up to 150 hours

Is there any assumed pre-requisite knowledge?

There is no assumed knowledge for this course.

How does the process work?

Kaplan Professional has partnered with SIAA to provide RG146 accreditation for our courses. This course is administered by SIAA and our certificates of RG146 accreditation issued upon completion are jointly distributed with Kaplan Professional. Enrolments close at 3.00pm every Monday Sydney time.

  • Candidate enrols online/registration is received.
  • Candidate receives Welcome email from SIAA on Tuesday with course information/study materials.
  • Candidate completes and returns ‘Exam Booking Form’ to schedule their exam day/time. This must be done at least 3 days prior to exam.
  • SIAA releases exam/closes exam at designated day/time.
  • The Candidate’s approved Supervisor supervises exam and returns the ‘Declaration by Online Exam Supervisor’ to SIAA. Results will not be released until SIAA has received the completed ‘Declaration by Online Exam Supervisor’.
  •  Candidate receives result (results are released within 1 working day). Candidate receives Certificate (Certificates are issued end of each month).

Please ensure that the course you intend to enrol in is one you are required to undertake and are committed to completing, as fees are non-refundable. Substitutes are welcome within the enrolment period.

Please note the $250 exam resit fee includes up to three resits. If a second or third resit is required please contact our Student Services Manager at or phone 02 8080 3200. 

Useful downloads

Please go to each course page to enrol directly online.

PDF Enrolment form

Supervisor Guidelines

SIAA Exam Booking Form (to be completed and returned by candidate at least 3 days prior to them sitting their online exam)

Summary of Assessment

Academic Misconduct Policy (individuals who enrol in a SIAA course are bound by our Academic Misconduct Policy)

Enrolments close at 3.00pm every Monday Sydney time.