RG146 Compliant Investment

Course Overview

Investment Adviser is designed for individuals requiring RG146 compliance to provide advice on regulated Managed Investments and Securities products (ie. both general AND personal Advice). Any person who provides Managed Investments and Securities advice must have an industry specific accreditation (known as RG146 certification).

Course Modules

This is an ASIC accredited course that covers:

  • DFP 1 – Financial Planning Advice
  • DFP 4 – Investment Planning Advice

The Investment Adviser course will equipped you with both the skills and knowledge required to deliver quality compliant advice to clients on property ownership structures, listed property trusts, managed investment schemes, shares and fixed interest products

Career opportunities include positions in banks, fund managers, investment platform providers, investment research houses, superannuation funds, stock brokers, credit unions, accounting practices, financial planning practices, mortgage broking businesses, insurance firms, business brokers and real estate agencies.

Course Opportunities

  • Financial planner/adviser
  • Associate financial planner/adviser (i.e. a junior)
  • Para-planner
  • Financial Planning practice manager
  • Compliance officer at a financial planning firm/AFSL
  • Call center adviser for an Investment Fund Management provider
  • Call center adviser for an Investment platform provider
  • Back-office fund management operations officer
  • Back-office investment platform operations officer
  • Investment corporate actions support officer

Upon successful completion of the Investment Adviser course, students will meet the education requirements of ASIC Regulatory Guide 146 (RG146) for providing general and personal advice in managed investments and securities to retail clients.


Distance – $495

Workshop – $995