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Tier 2 Compliance Solution

Kaplan Professional's Tier 2 Compliance Solution addresses both the Knowledge and Skills required for ASIC RG146 compliance. It caters for financial advisors in a customer service role who require specialised accreditation.

Please note that this compliance option is only offered as a corporate solution to a group of 80 or more participants at a time. You can find out how this can be delivered for your business by contacting a Business Development Manager in your state.

This two-part course has been designed for you to meet Tier 2 adviser requirements set out by ASIC in RG 146. The first part equips you with some fundamental knowledge on specific topics relevant to customer service roles in finance. The latter part of the Tier 2 Compliance Solution gives you practical training and application of advisory skills.

• Who Should Enrol
• Course Structure and Subject Outlines
• Enrolment and Further Information

Who Should Enrol

Tier 2 Compliance Solution is ideal for:

• Financial advisers in a customer service role
• Financial product advisers yet to have met their Tier 2 competencies
• Non-advisory financial services staff or staff with limited advice seeking to increase their career potential.

What would I achieve upon completion?

Upon successful completion of Kaplan Professional’s Tier 2 Compliance Solution, you’ll be able to:

• receive a Statement of Attainment against Tier 2 competencies as identified by ASIC
• understand and apply specific knowledge including cash and deposit taking and general insurance
• learn practical and appropriate adviser-client skills.

Course Structure and Subject Outlines

The modules available in this course include:

• Generic Knowledge - The Finance System
• Specialist Knowledge - Cash and Deposit Taking
• Specialist Knowledge - General Insurance
• Adviser Skills.

Course delivery

There are two different ways the course can be studied. The delivery modes are:

• Self-study – Delivered via distance education, subject notes are mailed to students with supplementary material and amendments available via the Kaplan website .
• Workshop – If a more structured learning environment is preferred, each module is also available in a traditional classroom setting. This involves a period of essential pre-study followed by the workshops (pre-study materials will be mailed prior to workshops.

Assessments

Each knowledge module (ie, Generic Knowledge, Specialist Knowledge- Cash and Deposit Taking and Specialist Knowledge – General Insurance) are assessed by a short online multiple-choice exam. A pass mark of 70% is required for each exam.

The Adviser Skills module will be assessed via a written case study.

Enrolment and Further Information

Explore your career options in a rewarding customer service role within the financial services sector. Enrol in Kaplan Professional’s Tier 2 Compliance Solution.

 Download the Tier 2 Compliance Solution Brochure 

 Self enrolling students - Enrol Online
 Tier 2 Adviser Training Coordinators - Login

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