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, 80% pass mark). The enrolment fee includes one exam resit.

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. 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.

Securities & Managed Investments

Non-Member: $790.00
Organisation Member: $590.00
Practitioner Member: $590.00

Securities & Managed Investments Online Exam Resit

Non-Member: $250.00
Organisation Member: $250.00
Practitioner Member: $250.00

Securities & Managed Investments Remote Online Exam Supervision

Non-Member: $75.00
Organisation Member: $75.00
Practitioner Member: $75.00

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.