As the premier education arm of the Stockbrokers and Investment Advisers Association (SIAA), our RG146-accredited courses are developed by the industry, for the industry. These accreditations equip professionals with real-world, regulatory-aligned knowledge and deliver CPD credits as mandated under the Professional Standards regime.
All SIAA accreditations, listed below, include three exam opportunities.
Core 1 – Securities & Managed Investments + Assignment
Who it’s for: Advisers, customer service representatives, responsible managers or experienced practitioners aiming to provide or refresh general advice on securities and managed investments.
What it covers:
- Asset classes, portfolio construction, and investment manager styles.
- Risk and reward characteristics of securities and managed investment products.
- Regulatory and tax implications for product use.
- How to analyse client needs, define risk profiles, research, and craft investment strategies using securities and managed investments.
Format & duration: Assignment plus online exam.
Why choose it: It fulfils ASIC RG146 Tier 1 training for both Generic Knowledge and Specialist Knowledge in Securities + Managed Investments (ideal for those writing personal advice).
Securities & Managed Investments (Exam Only)
Who it’s for: Professionals who need solid foundation knowledge, ideal for client service or compliance roles, or those completing CPD.
What it covers:
- Asset classes, product types, and market participants.
- Risks/benefits of various securities and managed investment products.
- Regulation and taxation of managed investments.
Format & duration: Online exam.
Why choose it: Straightforward path to gain RG146 accreditation for securities + managed investments, with 16 hours of Professional Standards CPD credit.
Fundamentals of Securities
Who it’s for: Entry-level professionals, customer service staff, or responsible managers who need a foundational grasp of securities.
What it covers:
- Features, risks, and uses of different securities products.
- Basic analytical tools for investment decision-making.
- Regulatory and tax framework for securities in Australia.
Format & duration: Online exam.
Why choose it: Meets ASIC RG146 Tier 1 requirement for generic knowledge and specialist securities knowledge, while also delivering 10 hours of CPD.
Accredited Derivatives Adviser – Level 1 (ADA1)
Who it’s for: Existing RG146-compliant advisers or authorised reps who want to advise on Tier 1 derivatives.
What it covers:
- Derivatives markets, product types, risks, and applications.
- Regulatory and tax aspects of derivatives use.
- Practical advice use-cases: e.g., taking options, writing covered calls, warrants.
Format & duration: Assignment + online exam.
Why choose it: Delivers RG146 Tier 1 accreditation for derivatives advice, plus 20 Professional Standards CPD hours.
Accredited Derivatives Adviser – Level 2 (ADA2)
Who it’s for: Advisers who’ve completed ADA1 and want to advise on more sophisticated derivatives.
What it covers:
- Advanced derivatives strategies: writing options, LEPOs, more complex products.
- Compliance and regulatory obligations under MIR and ASIC rules.
Format & duration: Online exam.
Why choose it: Expands your RG146-accredited advisory scope into Tier 2 derivatives and grants 20 CPD hours.
Foreign Exchange (FX)
Who it’s for: Advisers wanting to provide general advice on FX products, including spot, forwards, and currency options.
What it covers:
- FX markets and product structures.
- Tax treatment and regulatory compliance of FX transactions.
Format & duration: Online exam.
Why choose it: Meets RG146 Tier 1 requirements for FX advice and awards 10 CPD hours.
Margin Lending
Who it’s for: Advisers or dealers who want to provide or specialise in advice on margin or geared lending facilities.
What it covers:
- Concepts of gearing and margin loans, alternative leverage strategies.
- Tax treatment, franked dividends, capital gains, and interest.
- Risk management, compliance, and suitability frameworks for geared exposure.
Format & duration: Open-book exam.
Why choose it: Fulfils RG146 Tier 1 training requirements for margin lending advice and offers 10 CPD hours.
National DTR Accreditation (Cash Equities & Derivatives)
Who it’s for: Trading participants who must designate a Designated Trading Representative (DTR) under ASIC Market Integrity Rules.
What it covers:
- Key rules and processes under the ASIC Market Integrity Rules (MIR).
- Exchange operating procedures (e.g., ASX, Cboe).
- Real-world assessment via an oral evaluation by a DTR Governor.
Format & duration: Online exam + one-on-one oral assessment, plus 4 weeks of on-the-job training with a senior DTR.
Why choose it: Successful candidates can be listed on the National Register of DTR Operators, meeting regulatory qualification standards, plus gain 10 hours of CPD credit.
TO APPLY:
Contact us at [email protected] or (02) 8080 3200 or learn more about SIAA’s accreditations.
