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Investment Adviser

The Investment Adviser Knowledge & Skills course is designed for individuals who require authorisation by an Australian Financial Services License (AFSL) holder to provide advice on regulated Managed Investment products.

For existing authorised representatives, successful completion of this course allows you to extend your advisory range into Managed Investment products.

Focused on your Success

We recognise that employers are increasingly looking for candidates who are aware of the challenges of being a successful financial adviser.

Often a candidate’s Qualification is the only evidence that they possess the technical knowledge and skills requirements to conduct themselves professionally as an authorised representative. Unfortunately, this can not be said for all training providers.

With a Mentor Education Training Australia qualification you have confidence in the fact that you will be equipped with the skills and knowledge gained from a credible industry-endorsed program that employs best practice assessment standards, helping you graduate at the leading edge of your chosen field.

Course Outcome

The Investment Adviser course will equip you with the specialist knowledge and technical skills to provide compliant advice to clients on property ownership structures, listed property trusts, managed investment schemes, shares and fixed interest products

ASIC RG146 (PS146) Registered

Mentor’s courses offer more than just compliance training that meets the requirements of ASIC Regulatory Guideline 146 RG146 / PS146. They are designed to engage and challenge, so that you or your advisers are equipped with both the skills and knowledge required to deliver quality advice outcomes to your clients.

Who Should Enrol?

This course is suitable for:

  • individuals seeking employment with Investment companies
  • individuals engaged in the promotion of Managed Investments and Securities
  • financial advisers seeking to enhance their advisory capability in Managed Investments and Securities

Course Entry Requirement

This is an open entry course with no pre-requisite qualifications. In order for participants to successfully complete this course, it is recommended they have a strong grasp of literacy and numeracy.

Competencies

Provide Advice in Managed Investments, Securities and Derivatives (Personal Advice)

FNSASICT503A Provide advice in Managed Investments
FNSASICW503A Provide advice in Securities
FNSASICZ503A Provide advice in Financial Planning
FNSINC501A Conduct product research to support recommendations
FNSIAD501A Provide appropriate services, advice and products to clients
FNSCUS505A Determine client requirements and expectation
FNSCUS506A Record and implement client instructions
FNSFMK502A Analyse financial market products for clients
FNSFMK503A Advise clients on financial risks

Provide Advice in Managed Investments, Securities and Derivatives (General Advice)

FNSIAD301A Provide general advice on financial products and services

Individuals seeking to provide Tier 1 compliant advice on Superannuation products, are required to successfully complete:

  • Financial Advicecomprising Australian Industry Essentials and Financial Advice Fundamentals, plus
  • Investment Planning
  • General Advice candidates are only required to undertake assessment for Australian Industry Essentials Investment Planning.
  • Personal Advice candidates are required to undertake assessment for Australian Industry Essentials, Financial Advice Fundamentals and Investment Planning.

Financial Advice

Australian Industry Essentials

  • Australian Economy
  • Australian Financial Markets
  • Investment Funds
  • Corporations Act
  • Regulatory Environment
  • Licensees & Representatives
  • Ethics

Financial Advice Fundamentals

  • Personal Taxation
  • Social Security
  • Wealth Creation Fundamentals
  • Estate Planning Fundamentals
  • Establishing Client Relationship
  • Identify Client Objectives & Financial Situation
  • Analyse Client Objectives & Financial Situation
  • Develop Strategies & Solutions
  • Present Strategies & Solutions
  • Implement Agreed Plan
  • Provide On-going Advice

Investment Planning

Specialist Area

  • Introduction to Financial Markets
  • Introduction to Managed Investments
  • Securities - Money Market Investments
  • Securities - The Bond Market
  • Securities - Shares
  • Securities - Property Securities
  • Specialised Investments
  • Constructing Portfolios
  • Use of Leverage
  • Taxation Issues for Investors
  • Conducting Research

Assessment

This course is assessed via the completion of several multiple choice questions, a case study and role play (work-place simulation).

Note – General Advice candidates do not require adviser skills and therefore are exempt from adviser skills assessments.

Our friendly and experienced team will provide support and assessment feedback as you progress through your studies.

FLEXIBLE DELIVERY OPTIONS: NATION-WIDE

Mentor specialises in providing professional education and training services to you anywhere, any-time. We appreciate that learning needs differ for each individual and organisation, which is why we allow you to select the approach that works best for you.

If you only intend to inform clients about a product without making a recommendation this is the course for you.

Study Online, Workshop or customised In-house Training and start this Monday at 11 am with an Induction Webinar.

Online
  • No hidden costs
  • Self-Paced
  • Start anytime
  • Online assessment
  • 1300 phone support

$780.00

ENROL NOW
Download Enrolment Form
Workshop
  • No hidden costs
  • Interactive Learning
  • Experienced facilitators
  • National Workshops
  • Catering provided

$1,320.00

EXPRESS INTEREST
Download Enrolment Form

If you intend to recommend a product taking a clients personal situation into account, this is the course for you.

Study Online, Workshop or customised In-house Training and start this Monday at 11 am with an Induction Webinar.

Online
  • No hidden costs
  • Self-Paced
  • Start anytime
  • Online assessment
  • 1300 phone support

$1,040.00

ENROL NOW
Download Enrolment Form
Workshop
  • No hidden costs
  • Interactive Learning
  • Experienced facilitators
  • National Workshops
  • Catering provided

$1,560.00

was $1,760.00 SAVE!
EXPRESS INTEREST
Download Enrolment Form

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TESTIMONIALS

..Mentor’s assistance with helping me with both Diploma of Financial Planning and the Adv. Diploma of Financial Planning has been fantastic. I really appreciate their guidance and assistance with helping me obtain my qualifications. Your prompt email responses to my queries are also greatly appreciated..

ILinda Pfitzner
Client Service Manager
Leading Australia Bank Financial Planning

..Mentor simply makes our lives easier. Their professional problem-solving approach allows us to focus on other parts of the business;
safe in the knowledge that Mentor graduates have what is takes to provide our clients with sound and accurate advice..

Charles Cavallaro
Professional Development Coordinator
Leading Australian Bank

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