Securities & Managed Investments

SIAA’s Securities & Managed Investments course provides candidates with the specialist knowledge necessary to understand the concepts of securities as they apply to retail general advice clients. It focuses on the relevant market participants, product types, characteristics and applications. The benefits and risks associated with the different securities products are explored. The regulatory and taxation issues affecting the use of securities and managed investment products are outlined. 

Learning outcomes

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

If claiming Professional Standards CPD, this course provides 16 hours Professional Standards CPD hours, the breakdown as follows: Technical competence 5 hours | Client care and practice 3 hours | Regulatory compliance and consumer protection 4 hours | Professionalism and ethics 3 hours | General 1 hour.

Who should complete the course?

This course is suitable for:

• those employed in the securities and derivatives industry 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

1 x Online Exam (Closed Book, 54 questions, 2 hours reading time, 80% pass mark). 

Candidates have 14 weeks from their enrolment start date to complete the online examination.

Suggested study hours

Allow up to 120 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. 

• Upon registration a welcome email with the access link to your course will be sent. 
• SIAA releases exam/closes exam at the requested 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 SIAA at [email protected] or phone 02 8080 3200.