Core 1 – Securities & Managed Investments

The Stockbrokers and Financial Advisers Association Core 1 Securities & Managed Investments course provides candidates with the specialist knowledge and skills necessary to provide product advice to retail clients 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.
  • Introduced to basic techniques for analyzing 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 & Managed Investments course will also introduce candidates to the skills requirements for retail client advisers under ASIC RG146 requirements. 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 client’s 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.

Who should complete the course?

The Core 1 Securities & Managed Investments course is aimed at individuals who are just starting out in the industry, having completed their FASEA education requirements and who are now looking to become knowledgeable client advisers in the securities and derivatives industry.

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

How does the process work?
Courses are administered by the Stockbrokers and Financial Advisers Association (SAFAA). Enrolments close at 3.00pm every Monday Sydney time.

  • Candidate enrols online/registration is received.
  • Candidate receives Welcome email from SAFAA 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.
  • SAFAA releases exam/closes exam at designated day/time.
  • The Candidate’s approved Supervisor supervises exam and returns the ‘Declaration by Online Exam Supervisor’ to SAFAA. Results will not be released until SAFAA 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).

Is there any assumed pre-requisite knowledge?

There is no assumed knowledge for this course.

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.

Core 1

Non-Member: $990.00
Organisation Member: $790.00
Practitioner Member: $790.00

Enrol

Core 1 Remark

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

Enrol

Core 1 Resit

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

Enrol

Continuing Professional Development (CPD)

The Core 1 Securities & Managed Investments course provides 25 FASEA CPD hours to candidates.  See breakdown for FASEA areas:

FASEA CPD Area
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
Total Hours 25 hours

 

Regarding RG146 CPD (if the candidate is not doing education to meet RG146 requirements), candidates may claim 25 hours of CPD in Generic, Securities and/or Managed Investments, and including 8 hours of Compliance CPD for completing Core 1 – Securities & Managed Investments course.

Useful downloads

Please go to each course page to enrol directly online.

PDF Enrolment form

Supervisor Guidelines

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

Summary of Assessment

Enrolments close at 3.00pm every Monday Sydney time.