Fundamentals of Securities

SIAA’s Fundamentals of Securities 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 are outlined. 

Learning outcomes

Attendees will walk away with a solid understanding of the following:

• Compare the features, benefits and risks of a range of securities products and discuss how these features affect their application in different investment strategies.
• Apply basic analytical tools to assist in investment decisions.
• Identify the regulatory and taxation issues relevant to securities products in Australia.
• Demonstrate technical compliance with RG146 in securities.

The Fundamentals of Securities course addresses the ASIC training requirements for RG146 Tier 1 compliance for Specialist Knowledge: Securities and Generic knowledge.

If claiming Professional Standards CPD, this course provides 10 hours Professional Standards CPD hours, the breakdown as follows: Technical competence 3 hours | Client care and practice 3 hours | Regulatory compliance and consumer protection 3 hours | Professionalism and ethics 1.

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

Assessment details

1 x Online Exam (Closed Book 20 questions, 1 hour, 80% pass mark).

Suggested study hours

Allow up to 80 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 [email protected] or phone 02 8080 3200.